3/07/2019 | Content area:
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
8/16/2018 | Content area:
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
4/05/2018 | Content area:
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commissio...
8/15/2017 | Content area:
Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered complia...
1/26/2017 | Content area:
Investment Adviser | Broker-Dealer
CGMI overcharged or caused to be overcharged at least 60,000 advisory client accounts an estimated $18 million in unauthorized advisory fees. These ov...
7/01/2016 | Content area:
The SEC is investigating potential violations of the federal securities laws arising from the failure of Bantry Bay to produce required books and reco...
9/27/2013 | Content area:
This case featured a father trying to hide the sins of his son. It also features books and records violations, among others.