Enforcement

You can pick out two lessons in the story of a billing problem that affected more than 150,000 wealth management accounts at J.P. Morgan Securities. ...

The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018.   The Commission’s annual report card on its enforcement ...

The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissioners is ...

Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year ...

It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger firms (BD Watch, May ...

The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC ...

The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disgorgement and ...

Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...

In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, SEC ...

The Commission’s enforcement program is not a television show with a season-end cliffhanger. So why are we all standing around talking about it as if ...