Enforcement

The SEC claims attorney Jonathan Bristol not only represented his client, accused swindler Kenneth Starr and his RIA Starr Investment Advisors ($1.2B in AUM) in ...

We've chronicled the woes of Diane Keefe, the former PM at Pax World Management Corp. ($254M in AUM) in Portsmouth, N.H. before (IA Watch, April ...

Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...

Eight days after the Commission approved an Enforcement case against RIA Morgan Keegan & Company ($3.4B in AUM) this spring (IA Watch, April 12, 2010), ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...

Most enforcement actions begin as investor complaints or routine exams. The two-year investigation of Morgan Keegan sprouted in an unique way: from a college course ...

The SEC took action last week to answer critics who claim the agency doesn't enforce its short selling rules - it moved to settle a ...

The SEC treats larger brokerage firms that get into trouble better than smaller firms, says a Harvard fellow who has investigated nearly four years of ...

The SEC actually brought fewer cases against investment advisers in FY 2009 than the year before, but the ones it did pursue touched many more ...

FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager ...