Enforcement

These proceedings arise from the improper use of mutual fund assets to pay nearly $18 million for the distribution and marketing of fund shares outside ...

The Complaint alleges that from at least January 2016 through October 2016, Powderly solicited customers and prospective customers by claiming that he and a university ...

Making $6,000 in under 10 minutes would make a lot of people’s day.   The problem for Kevin Amell is that that option trade was ...

A former rep with a prior FINRA settlement on his record for violating the SRO’s suitability rules has now run afoul of the SEC for ...

Fully one-quarter of the 334 enforcement actions filed by the SEC in the first half of fiscal year 2017 have involved broker-dealers. Actions against broker-dealers ...

ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Russia Fund ...

RED List works in conjunction with the CFTC’s SmartCheckSM campaign to help investors identify and protect themselves against illegal conduct. The RED List also ...

It took a jury five days in 2014 to decide that Charles Kokesh committed securities fraud by stealing tens of millions of dollars at two ...

Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied ...

Meadlin disseminated dozens of emails to prospective investors and clients in which he inflated Hyaline's assets under management (AUM), claiming that Hyaline managed between $17 ...