Enforcement

These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...

One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten ...

One of the primary ways we do that is with a focus on identifying and charging culpable individuals. Bad actors undermine the hard-earned trust essential ...

When the link between OCIE and Enforcement is closer than the link between OCIE and the SEC’s policy divisions, firms and individuals change the way ...

FINRA has said that compliance with market access rules has become an issue in a growing number of exams (BD Watch, Dec. 14, 2017). The ...

Only a few years ago, Premium Point Investment ($84M in AUM), a New York hedge fund adviser, managed $2.5 billion in assets. Now it’s shutting ...

The scheme ran from at least September 2015 through March 2016 and relied on a secret deal where in exchange for sending trades to a ...

Simply listing out what actions your client has taken, without more, does not explain the significance of the cooperation. In my view, the more effective ...

Murakami admitted to diverting millions of dollars of investor funds to business and personal accounts that he controlled, and using the money to pay for ...

DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Francisco-based funding portal, alleging violations ...