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Examinations Enforcement: Settlement (629)
Your search for Examinations Enforcement: Settlement returned 629 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...
5/09/2019 | 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, ...
3/25/2019 | Content area: Investment Adviser
The forgery count for which Dierman was found guilty was premised on his forgery of a signature on a written instrument in September 2011 to wrongfull...
3/25/2019 | Content area: Investment Adviser
The mail fraud count to which Wanner pleaded guilty was premised on his operation of a fraudulent scheme between 2000 and 2015 in which Wanner defraud...
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...
3/15/2019 | 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...
3/11/2019 | 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...


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