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Administrative Proceedings

The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
If Migliorato had taken reasonable steps to follow-up with respect to the handling of ICBCFS’s pre-release transactions by securities lending desk personnel, it is likely ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Folger Nolan Fleming Douglas Capital Management, Inc. in connection ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Equity Services, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Cargile Investment Management, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Bill Few Associates, Inc. in connection with its mutual ...
MAFM purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees instead of lower-cost share classes of the same funds ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Wedbush Securities, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Saxony Capital Management, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IPG Investment Advisors, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Independent Financial Group, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IC Advisory Services, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Henley & Company Wealth Management, LLC in connection with ...
Fixelle distributed false account statements indicating that investors funds were fully invested and overall earning positive returns. In reality, however, the Complaint alleged, Fixelle misappropriated ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Comprehensive Capital Management, Inc. (“CCM”) in connection with its ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Michigan Advisors, Inc. in connection with its mutual fund ...
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