Disclosure

CSSU violated Section 17(a)(2) of the Securities Act by making misrepresentations regarding CSSU’s use and application of an “Alpha Formula/Scorecard” (“Alpha Formula”), which CSSU used to ...

CSSU did not fully and completely disclose to all Crossfinder subscribers the fact that confidential order information was being transmitted to the AES SOR or ...

Barclays made materially misleading statements and omitted to state certain material facts necessary to make statements made not misleading concerning a) the operation of an ...

Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...

The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...

A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.

These proceedings arise from material misstatements and omissions made by Equinox in the offer and sale of units in the Frontier Fund (“TFF”), a publicly ...

This matter arises from false and misleading statements in certain JPMS marketing materials regarding how JPMS compensated registered representatives in its U.S. Private Bank (“JPM ...

From May 2008 to 2013, JPMS failed to disclose that it designed and operated Chase Strategic Portfolio, a retail unified managed account program, with a ...

JPMCB failed to fully disclose its preference for investing its client funds in certain commodity pools or exempt pools, namely hedge funds and mutual funds ...