9/18/2018 | Content area:
This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundre...
8/10/2015 | Content area:
GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loa...
8/06/2015 | Content area:
Investment Adviser | Broker-Dealer
Parallax, an investment adviser registered with the Commission from March 2010 to November 2012, willfully violated the principal transaction prohibit...
8/30/2013 | Content area:
This enforcement case targets an adviser that fell completely off the rails when it comes to compliance. For example, the firm "never had adequate wri...
8/27/2013 | Content area:
This is a case many compliance officers point to because the SEC accused Carl Johns of lying to the adviser's CCO. Johns ignored the firm's code of et...
12/17/2012 | Content area:
This hedge fund manager was charged with cherry-picking. The SEC noted the firm lacks relevant compliance P&Ps or a code of ethics that would have spo...
11/20/2012 | Content area:
This adviser withdrew its registration after a slew of compliance violations, including lacking adequate compliance P&Ps and failing to maintain vario...
7/20/2012 | Content area:
This pair failed to investigate numerous serious red flags indicating misconduct by a colleague, according to the SEC.
3/05/2008 | Content area:
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case...