Enforcement

IA Week has obtained a copy of the letter the Enforcement Division of the SEC's New York Regional Office has been sending to advisers as ...

It looks as though among the legislative changes the SEC will ask of Congress will be expanded authority under the Advisers Act to "seek penalties ...

A widening probe of fraud tied to New York's largest pension fund has snagged Saul Meyer, who founded one RIA and has ties to another. ...

When Isaac Ovid started his investment business, including RIA Jadis Investments, the ordained minister turned to his church, where his father, the pastor, offered a ...

Accused Ponzi artist Robert Allen Stanford has formally denied the allegations of fraud the SEC has made against him and others in his Stanford companies ...

For seven years Sean Mansfield labored at Financial Counselors, an advisory firm in West Springfield, Mass., where he also served as CCO. Last month authorities ...

Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...

Citing the recent surge in the number of registered investment advisers, SEC Commissioner Elisse Walter testified this month before the House Financial Services Committee asking ...

An RIA tempted the University of Pittsburgh to fork over $21 million last month even as its investment house of cards was folding.An unregistered hedge ...

The new director of the SEC's Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the last ...