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Examinations Enforcement: Settlement (642)
Your search for Examinations Enforcement: Settlement returned 642 results.
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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...
7/02/2019 | 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...
7/01/2019 | 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...
6/27/2019 | 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...
6/25/2019 | 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 ...
6/20/2019 | Content area: Investment Adviser
Rios did knowingly and willfully conspire with Jaswant Singh Gill and others known and unknown, to commit offenses against the United States, specific...
6/18/2019 | Content area: Investment Adviser
As a result of this conduct, Wedbush, at times, facilitated short selling and enabled the settlement of trades with ADRs that were not actually backed...
6/06/2019 | Content area: Investment Adviser
The Commission’s complaint alleged that Respondent engaged in various schemes to defraud her clients from 2013 through 2018. These schemes included: (...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/28/2019 | Content area: Investment Adviser
In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clien...
5/28/2019 | Content area: Investment Adviser
The indictment alleges that Premock raised approximately $1.3 million from his clients by making numerous misrepresentations, including that the clie...
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...
5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
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...
4/05/2019 | 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...
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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