Enforcement

Max Zavanelli has had his troubles when it comes to advertising the performance of his firm, ZPR Investment Management ($164M in AUM) in Orange City, ...

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...

Two enforcement actions announced last week by the SEC highlight the risks private equity advisers face if their compliance policies and procedures aren't suitable to ...

Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...

A common criticism of the SEC following the financial crisis was it didn't go after enough big fish on Wall Street. Last month one defendant ...

One RIA CCO pumped up his clients' holdings by playing with the decimal points in a failed attempt to claim SEC registration. A second CCO ...

The difference was only one case, but SEC enforcement actions between Oct. 2011 and Sept. 2012 totaled 147 - a single digit ahead of the ...

A recent decision by a FINRA hearing panel shows the perils of a firm not telling the regulator that it had altered a document the ...

In response to charges it inflated investments to capture millions in undeserved fees, Yorkville Advisors ($304M in AUM) in Jersey City, N.J., states that two ...

The dirty side of political fundraising comes through in a new settlement and a continuing case over alleged undisclosed campaign contributions in an attempt to ...