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Examinations Enforcement: Settlement (1054)
Your search for Examinations Enforcement: Settlement returned 1054 results.
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7/19/2019 | Content area: Investment Adviser
Peter de Roetth, with Chris de Roetth’s knowledge, made concentrated efforts to get Ms. Doe to sign an amendment that continued her trust for twenty y...
7/17/2019 | Content area: Private Fund
Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...
7/16/2019 | Content area: Private Fund
After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund adm...
7/16/2019 | Content area: Broker-Dealer
Between January 22 and February 26, 2010, SHCP generated no less than $460,803.84 in trading revenue as an unregistered broker-dealer. Additionally, i...
7/16/2019 | Content area: Broker-Dealer
School Services undertook the solicitation of municipal entities without being registered with the Commission. School Services’ emails and phone calls...
7/16/2019 | Content area: Broker-Dealer
This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in ...
7/15/2019 | Content area: Investment Adviser
These proceedings arise out of Nomura’s failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisio...
7/12/2019 | Content area: Investment Adviser | Broker-Dealer
The criminal information against Chun alleged that, from 2009 to 2014, Chun misappropriated client funds by, among other things, obtaining loans again...
7/10/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged, among other things, that from at least August 2016 through February 2018, Santa Fe transferred directly to Laws an...
7/05/2019 | Content area: Broker-Dealer
The count of the indictment to which Gonzalez Seijo pled guilty alleged that he was an independent insurance agent who offered variable annuities, amo...
7/02/2019 | Content area: Investment Adviser
A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment adv...
7/02/2019 | Content area: Broker-Dealer
Catledge solicited investments, through the marketing entity known as Net Worth Solutions, involving the offer and sale of over $163 million of invest...
7/01/2019 | Content area: Broker-Dealer
According to his plea agreement and the indictment, the securities fraud counts to which Moter pleaded guilty were premised on his operation of a frau...
7/01/2019 | Content area: Investment Adviser
On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Financ...
6/28/2019 | Content area: Private Fund
The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making ...
6/27/2019 | Content area: Investment Adviser
In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank self-reported the violati...
6/27/2019 | Content area: Investment Adviser
The overcharges included expenses related to Society of Worldwide Interbank Financial Telecommunication (or “SWIFT”) messages, a secured messaging net...
6/27/2019 | Content area: Broker-Dealer
These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a m...
6/26/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, during the period from 2011 through 2014, Dean recommended to thirteen customers a pattern of high cost, in-a...
6/25/2019 | Content area: Investment Adviser
Chahal fraudulently solicited approximately $1.4 million from about 50 individuals by falsely claiming to be an experienced and successful trader who ...


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