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Examinations Enforcement: Settlement (907)
Your search for Examinations Enforcement: Settlement returned 907 results.
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12/26/2018 | Content area: Private Fund
In the absence of such disclosure, Lightyear should have either allocated the proportional share of such expenses to the co-investors or borne those c...
12/26/2018 | Content area: Private Fund
The Commission’s complaint alleged that, from March 2013 to February 2014, Burns, through SLM, acquired insurance companies and thereby obtained the a...
12/26/2018 | Content area: Investment Adviser
Dubiel, without giving notice to the affected clients, shared his First Allied confidential client account log-in credentials with Woodard. Dubiel kne...
12/26/2018 | Content area: Investment Adviser
Nadel fraudulently induced clients of RIA to invest tens of millions of dollars in what he falsely represented as a liquid, cash management investment...
12/26/2018 | Content area: Broker-Dealer
At least several of the largest (by share volume) Pre-Release Brokers that routinely obtained pre-released ADRs from JPMorgan during that period faile...
12/21/2018 | Content area: Investment Adviser
Timbervest and the Division recognize that, according to Lucia v. SEC, 138 S. Ct. 2044 (2018), Timbervest would be entitled to a “new hearing” before ...
12/21/2018 | Content area: Broker-Dealer
In March 2013, roughly three months after FC 2012 had concluded its investment in the Piney Cumberland offering, Lloyd provided the staff of the Commi...
12/21/2018 | Content area: Investment Adviser
In reality, Black Diamond managed no marketable assets at the time and has never met the minimum requirements for investment adviser registration with...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
12/21/2018 | Content area: Investment Adviser
Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitte...
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
APA failed to disclose that it and its investment adviser representatives (“IARs”) had a conflict of interest as a result of the additional compensati...
12/21/2018 | Content area: Broker-Dealer
Baccam acted as an unregistered broker, by selling the notes while acting as a representative of Centaurus and not disclosing those sales to the firm....
12/21/2018 | Content area: Investment Adviser
Respondents mischaracterized the Fund as being “hedged,” when in fact the use of these new kinds of derivatives added risk. Respondents’ description o...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/21/2018 | Content area: Broker-Dealer
The Trust PPMs, like the Four Funds PPMs, raised red flags that should have caused the Respondents, as associated persons of a broker-dealer, to condu...
12/20/2018 | Content area: Investment Adviser
The Mayfield Heights, Ohio-based advisory firm Ancora Advisors ($4.6B in AUM) knew it had violated the SEC’s pay-to-play rule, which meant a “two-year...
12/20/2018 | Content area: Investment Adviser
Walter Grenda continued to associate with Grenda Group, LLC - an entity he and his son, Gregory M. Grenda, formed in part to replace his previous inve...
12/20/2018 | Content area: Investment Adviser
Sterling, a registered investment adviser, made material misstatements and omissions to its clients and prospective clients in advertising the back-te...
12/20/2018 | Content area: Investment Adviser
Polese along with a co-conspirator misappropriated the retirement savings of two clients for their own personal use. The criminal information further ...


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