Enforcement

MSCO failed in certain respects to implement and maintain adequate systems and procedures for reconciling exchange and clearing fees from at least 2009 through April ...

Over the course of 21 days, from at least March 3, 2016 through March 24, 2016, Tillage's fund administrator received seven fraudulent requests to transfer ...

VisionPoint did not disclose the loans or the conflict of interest arising from this compensation in Commission filings or otherwise to clients. By failing to ...

The Commission’s complaint alleged that over a 27-month period, Peter J. Eichler, Jr. (“Eichler”), Aletheia’s majority owner, chairman, chief executive officer and chief investment officer, ...

Eichenauer and Sagent failed to disclose Eichenauer’s conflict of interest to SPIF investors in causing SPIF to use the Balanced Fund to lend Sagent money, ...

Merrill Lynch failed to supervise its response to CME Group’s inquiries from January 2010 through December 2010. Specifically, Merrill Lynch relied on the business operations ...

SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a compliance ...

The CFTC Complaint alleges that from approximately January 2014 through approximately January 2016, GBI and Gelfman, company Chief Executive Officer and Head Trader, operated a ...

Taking remedial actions have been shown to curry favor with SEC enforcement staff. The latest example of this comes with a strange twist.   The ...

Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...