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Examinations Enforcement: SEC Actions

Peirce suggested being wary of simply counting cases and tallying penalties
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
Failures tied to share class selection calculator trip up dual registrant
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
SEC claims adviser failed at its fiduciary duty; advisers fires back
Four years after the case began, judgment comes down upon fraudster
Latest enforcement action concerning seniors exploitation troubling
stock share trading traders
Market manipulation scheme employed by China-based traders
Michael Diamond once worked for Ringling Brothers but couldn’t have envisioned the circus he found himself part of when he applied to work at Worldwide ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
Kevin and Amanda Merrill married in 2015. They have only themselves to blame for their separation. That’s because a federal judge Oct. 11 sentenced Kevin ...
As an experienced lending desk supervisor at a number of broker-dealers, Domenick Migliorato was brought in to Industrial and Commercial Bank of China Financial Services ...
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients Litigation Release No. 24643 / October 15, 2019 Securities and Exchange Commission v. Cetera ...
The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
SEC Obtains Sanctions Against Lek Securities and CEO, Including Bar Against CEO Litigation Release No. 24639 / October 10, 2019 Securities and Exchange Commission v. ...
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