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Examinations Enforcement: Settlement (1089)
Your search for Examinations Enforcement: Settlement returned 1089 results.
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9/16/2019 | Content area: Investment Adviser
In 2015, the securities lending agent employee mentioned the conflict to the Respondents’ Chief Compliance Officer (“CCO”), advising him that, since 2...
9/16/2019 | Content area: Broker-Dealer
Both the missing transactions and inaccurate data reported were caused primarily by Stifel’s utilization of “trade compression,” a process by which da...
9/16/2019 | Content area: Broker-Dealer
BMO CMC’s submissions contained inaccurate EBS fields related to information about the securities transactions reported, such as average price account...
9/16/2019 | Content area: Broker-Dealer
Vandham’s AML Policies expressly specified certain “red flags” indicative of potential money laundering or other criminal or unlawful activity. An emp...
9/13/2019 | Content area: Private Fund
In July 2016, GIG’s Chief Compliance Officer identified the omission of parties from the Application and the resulting non-compliance with the Co-Inve...
9/13/2019 | Content area: Private Fund
ED Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written policie...
9/13/2019 | Content area: Investment Adviser
Yanow engaged in a scheme to defraud A.W. Yanow convinced A.W. to provide Yanow with signed blank checks drawn on A.W.’s Stifel account, falsely telli...
9/13/2019 | Content area: Investment Adviser
According to a Stipulation for Consent Order filed by the CDS on March 3, 2019, the CDS alleges that, between December 2017 and February 2018, Levine,...
9/04/2019 | Content area: Private Fund
Friedman characterized the investment opportunity as attractive because it allowed them to buy into an existing series which they could not do otherwi...
9/04/2019 | Content area: Investment Adviser
The counts of the criminal information to which Sampson pled guilty alleged, inter alia, that he made material misrepresentations, and omitted to disc...
9/03/2019 | Content area: Investment Adviser
These proceedings arise as a result of registered investment adviser LWM’s breaches of fiduciary duty and disclosure failures in connection with its r...
9/03/2019 | Content area: Broker-Dealer
These proceedings arise out of a fraudulent scheme carried out by Muldoon, a former Wells Fargo Clearing Services, LLC (“Wells Fargo”) trader, to evad...
8/28/2019 | Content area: Private Fund
EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent b...
8/27/2019 | Content area: Investment Adviser
Browere engaged in a scheme to defraud numerous investors by, among other things, falsely representing the use of investor funds, the value of investm...
8/26/2019 | Content area: Investment Adviser
LWA’s compliance policies and procedures manual required investment adviser representatives to pre-clear and obtain written pre-approval before buyin...
8/26/2019 | Content area: Investment Adviser
Buchanan engaged in undisclosed “cherry-picking,” a practice of fraudulently allocating profitable trades in an omnibus account to favored accounts, ...
8/21/2019 | Content area: Broker-Dealer
AOC failed to supervise Frank Dinucci Jr. (“Dinucci”), an associated person of AOC, who among other things, participated in a fraudulent valuation sch...
8/21/2019 | Content area: Broker-Dealer
After Gonzalez joined AOC, during the Relevant Period, he knew that AOC traders, including Dinucci, were providing price quotes or marks to PPI on beh...
8/20/2019 | Content area: Investment Adviser
Respondents’ cherry-picking of profitable option trades financially benefited Beyersdorf and his wife and disadvantaged his clients. From October 2017...
8/16/2019 | Content area: Investment Adviser
Conduct underlying the consent order occurred when Gillons was associated with a registered broker-dealer and investment adviser.


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