Enforcement

This has been a strong year for the Division of Enforcement. But you do not need to take my word for it. ...

Jeffrey Stevenson has run his own private equity firm, VSS Fund Management ($766M in AUM), from New York since 1982. The SEC says he put ...

Suspect that one of your reps may be engaged in excessive trading? Better investigate or put some meaningful restraints in place. Otherwise, you risk ending ...

Lemelson used written reports, interviews, and social media to spread untrue claims, including that Ligand was "teetering on the brink of bankruptcy" and that Ligand's ...

VSS and Stevenson received preliminary information indicating the Fund III NAV had potentially increased significantly during the first quarter of 2015 from the 2014 NAV, ...

It’s the IT equivalent of leaving your front door open to the world.   The CFTC has fined the futures commission merchant AMP Global Clearing ...

Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA ...

At its launch in 2010, on-line wealth manager Betterment made a big splash with its idea of using software algorithms and technology to manage customer ...

If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz, ...

Terracciano was serving as Aegis’ AML CO, Aegis failed to file Suspicious Activity Reports (“SARs”) on hundreds of transactions when it knew, suspected, or had ...