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Examinations Enforcement: Settlement (1000)
Your search for Examinations Enforcement: Settlement returned 1000 results.
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3/21/2019 | Content area: Investment Adviser
It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...
3/19/2019 | Content area: Investment Adviser
Cody defrauded clients by falsely assuring them that their retirement savings were secure when he knew they were not. In fact, by some time in 2014 th...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Lerman negiligently engaged in conduct in connection with the offering of interests in Pangaea Trading Partner...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Gladtke engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held i...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that DePalo engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held it...
3/15/2019 | Content area: Investment Adviser
Talimco, which owed a fiduciary duty to both the seller and buyer, breached its duty to the seller in violation of Section 206(2) of the Advisers Act ...
3/15/2019 | Content area: Investment Adviser
Rogers was the chief operating officer of Talimco and a member of the firm’s investment committee from 2012 until his separation from the firm in 2017...
3/15/2019 | Content area: Investment Adviser
The Commission’s complaint alleged that Respondent defrauded clients of his advisory firm, Atlas Capital Management, Inc., who had invested $5.7 milli...
3/13/2019 | Content area: Broker-Dealer
Wedbush failed reasonably to supervise one of its registered representatives, Timary Delorme (“Delorme”), who engaged in manipulative trading activity...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Raymond Lawrence Lent (dba The P...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Respondent was required to give its clients sufficient information so that they could understand the conflicts of interest of the Respondent concernin...
3/11/2019 | Content area: Investment Adviser
Respondent advised clients to purchase or hold4 mutual fund share classes that charged 12b-1 fees when lower-cost share classes of those same funds we...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Spire Wealth Management, LLC in ...
3/11/2019 | Content area: Investment Adviser
Respondent self-reported to the Commission the violations discussed in this Order pursuant to the Division of Enforcement’s (the “Division”) Share Cla...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
Respondent failed to disclose in its Form ADV or otherwise the conflicts of interest related to (a) its receipt of 12b-1 fees, and/or (b) its selectio...


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