Enforcement

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 ...

The Commodity Exchange Act gives ample opportunities for smaller CPOs to avoid registration – but you must notify the NFA that you are claiming an ...

The kind of massive fraud alleged here is as mind boggling as it is disturbing. A defendant has not only been sued for fraud by ...

Monex offers leveraged trading in gold, silver, platinum and palladium to retail customers through its “Atlas” program. Monex deceptively pitches leveraged trading through the Atlas ...

Division staff issued to Ikon a second subpoena which identified seven specific EFP transactions and requested certain documents regarding those transactions. Ikon produced certain additional ...

If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s ...

Wilson registered Black Diamond with the Commission as an investment adviser. In the initial Form ADV registration statement Wilson signed on Black Diamond’s behalf—as its ...

Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in ...

A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for failing ...