Enforcement

'Train's moving,' expert warns

CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy

ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients

Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...

Gerold led charge against cryptocurrencies, GPB Capital

Ebony CEO used funds to keep mag afloat, regulators claim.

The defendants improperly registered Bóveda with the Commission as an Internet IA

Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO

"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...

Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests