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Examinations Enforcement: Settlement (1024)
Your search for Examinations Enforcement: Settlement returned 1024 results.
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5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
5/15/2019 | Content area: Broker-Dealer
Although Wilson’s WSPs identify suspicious activity, list red flags, and describe Wilson’s responsibility to file SARs, Wilson failed to adequately co...
5/14/2019 | Content area: Private Fund
In slide decks used to solicit investment in Canada, in the United States, and elsewhere, NextBlock and Tapscott falsely represented that as many as f...
5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
5/06/2019 | Content area: Private Fund
Corinthian misused the assets in a private equity fund, Corinthian Equity Fund II, LP (“CEF 2”) that it advised to the advantage of Corinthian and thr...
5/06/2019 | Content area: Broker-Dealer
Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe...
4/25/2019 | Content area: Private Fund
In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Re...
4/23/2019 | Content area: Private Fund
in a newsletter emailed to Fund investors on September 8, 2016, Bruce inaccurately stated that he had “spent a great deal of time doing my diligence o...
4/18/2019 | Content area: Private Fund
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
4/17/2019 | Content area: Private Fund
Respondents defrauded certain SJL advisory clients and at least one investor in SJL’s MarketDNA Hedge Fund LP (“Fund”) by misleading them regarding th...
4/12/2019 | Content area: Investment Adviser
In reality, First Picks was struggling financially and lacked cash flows to fund operations, making it a risky investment. It routinely required new i...
4/11/2019 | Content area: Broker-Dealer
Rule 15Ba1-5 of the Exchange Act provides that a registered municipal advisor must promptly amend its SEC Form MA-I whenever any information becomes i...
4/10/2019 | Content area: Broker-Dealer
The criminal information against Stancik alleged, among other things, that Stancik: (1) made false representations to his broker-dealer customers as t...
4/05/2019 | Content area: Investment Adviser
The SEC alleged that instead of investing clients' money, Newsholme cashed their investment checks at a check-cashing store and pocketed the funds wh...
4/04/2019 | Content area: Broker-Dealer
When entering into a new line of business, it’s critically important to update your P&Ps to address any attendant risks associated with the new busine...
3/29/2019 | Content area: Broker-Dealer
This matter concerns the failure by VFM, a registered broker-dealer, to file Suspicious Activity Reports (“SAR” or “SARs”) for voluminous suspicious a...
3/28/2019 | Content area: Private Fund
Gibb also falsely reported fictitious amounts of assets under management in Forms ADV filed with the Commission, and falsely claimed Income Flood had ...
3/26/2019 | Content area: Investment Adviser
Francis misappropriated the funds he received, spending them on cocaine, alcohol, strip clubs, and luxury items. When investors inquired or complained...
3/25/2019 | Content area: Investment Adviser
Maxwell, among other things, obtained $170,000 from two of his elderly clients to acquire an unsuitable blockchain investment fund without adequately ...
3/25/2019 | Content area: Investment Adviser
Stivers made material misrepresentations to nine investors in connection with the offer and sale of $570,000 of securities of AIM High Holdings, LLC, ...


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