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Examinations Enforcement: SEC Actions

The SEC has filed a cherry-picking suit against a New Jersey investment adviser and its president—less than a decade after the firm’s parent company was ...
The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...
A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...
Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...
Dang advised the couple to transfer their retirement money to an online brokerage firm and to provide him with their log-in credentials so that he ...
Rodemer’s deceptive conduct continued even after he became aware that his misconduct was being investigated
Kamensky charged with manipulating bidding process at expense of Neiman Marcus unsecured creditors
Neiman has sued Marble Ridge for millions of dollars in alleged damages
Recordings caught Kamensky saying "Because they’re going to say that I abused my position as a fiduciary, which I probably did, right? Maybe I should ...
Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds
Federal officials have opened a criminal investigation into the founder of a Florida private fund adviser accused of bilking ailing former football stars out of ...
Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...
A “party cannot circumvent the SEC judicial review statute” by challenging its constitutionality before an enforcement action plays out
A Coral Gables, Fla. private fund adviser and his firm bilked accredited investors out of millions by misrepresenting the funds’ past performance, their firms’ AUM ...
A Miami private fund adviser incorrectly billed real estate funds it advised $3 million in expense reimbursement, costs that should’ve been billed to its co-investment ...
Communications to fund boards' on arrangement considered misleading
Ross also routinely highlighted the Funds’ historically high and stable returns in his oral conversations with prospective and current investors in the Funds, as well ...
A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...
Brewer has been a regular contributor to media networks, programs, and publications, including Yahoo Finance, CNBC, Fox Business, CNN, and the American City Business Journals
Failures stemmed from allocations tied to day trade and buy-and-hold clients
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