Enforcement

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, ...

Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...

The government alleges Robare & Jones Asset Managers ($150M in AUM) in Houston earned $441,000 in hidden fees over eight years without disclosing or adequately ...

OCIE's 2014 exam priorities list explicitly states that undisclosed compensation arrangements would be a focus area. A lack of compensation disclosure and a failure to ...

Several broker-dealer reps wished to open up an advisory firm only to be turned down by their boss. They started the firm anyway and had ...

News from a law firm that you can win in challenging an enforcement action rings like a horse track announcing you could take home the ...

According to the SEC, an Illinois adviser used investor funds to supply himself with a long list of accoutrements, from luxury cars to investments in ...

Last week, two principals of an adviser were sued in federal court in New York for allegedly lying to prospective investors and revising an auditor's ...

Douglas Cowgill had a long time to become familiar with the SEC's rules. He's the president and CCO of his own advisory firm, Professional Investment ...

Allegations of not disclosing hidden fees beat at the heart of the SEC's action against Ernest Montford, but the case's challenge of Congress's 180-day deadline ...