Enforcement

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 ...

By a 7-2 vote, the nation’s highest court June 21 sided with an investment adviser who had challenged the constitutionality of the SEC’s ALJ system

Is FINRA truly serious about making its enforcement process more consistent and transparent? Susan Schroeder, the SRO’s EVP of enforcement, made a strong case at ...

As large as the CFTC’s fine of $65 million against J.P. Morgan for years of staff manipulating the ISDA dollar rate to benefit the bank’s ...

With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmakers ...

This legislation would prohibit securities fraud cases against public companies but being heard in state courts. These actions would be limited to federal courts.

This legislation would give enforcement targets the right to force the SEC to move their cases from the agency's ALJ setting to federal courts.

Guzman misappropriated approximately a third of the investors' money, using it to pay himself and his personal expenses, and to make Ponzi payments to some ...

This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its clients arising ...

Asked whether investment advisers should consider the SEC Enforcement Division’s offer to self-report share class allocation issues in exchange for no penalties, Stephanie Monaco recalls ...