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A federal judge last week ended the government's criminal case against S.A.C. Capital Advisors ($41B in AUM) in Stamford, Conn., by approving a plea deal ...
Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered ...
More than a decade after the effective date of the compliance program rule should be enough time for an adviser to know how to run ...
Ernest Montford, 67, spends his days reading from his home in Savannah, Ga., and waiting - for SEC commissioners to decide his fate. His investment ...
Some will even deceive the dying to make a buck. The SEC alleges Los Angeles-based broker Michael Horowitz sought out patients on their death beds ...
It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...
Recent months have featured some tough talk out of the SEC. This year will display if enforcement will be able to back it up.SEC Chair ...
Recent enforcement actions show again how firms can run into trouble with e-mails and other electronic communications. Take the case of Frank Lorenzo, whose quarter-century ...
Add a new case to the list of CCOs finding trouble because of failing to comply with the SEC's custody rule (IA Watch, Nov. 4, ...
Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...