Enforcement

Two years after David Zier, the former CEO of Convergent Wealth Advisers ($4.6B in AUM) in Potomac, Md., took his life after questions were raised ...

For five years ending in 2012, traders at Goldman Sachs manipulated a key interest rate benchmark to benefit the firm’s proprietary derivatives’ positions while harming ...

FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...

It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...

Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the ...

The 68 enforcement cases the CFTC announced in FY 2016 comes in a shade behind the 69 achieved the previous year, but the agency’s $1.29 ...

It never hurts to hear from your regulator where your peers have fallen short.   SEC Enforcement Director Andrew Ceresney pointed to “certain problematic conduct ...

Yet another former ConvergEx subsidiary CEO has been charged by the SEC for participating in a scheme to conceal a practice of charging hidden mark-ups ...

The Investment Advisers Act of 1940Section 209 -- Enforcement of Title Investigation. Whenever it shall appear to the Commission, either upon complaint or otherwise, that ...

It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...