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Examinations Enforcement: SEC Actions

DeCaprio was responsible for reviewing drafts of the Form ADV Part 2A for accuracy and completeness and failed to disclose the sub-advisory relationship, the Mutual ...
President Donald saved one of his final pardons—coming in his last hours in office—for a man who previously served time in prison and was facing ...
Tennison fooled investors, selling securities in a supposed religious and humanitarian project and claiming profits would be used for religious and humanitarian projects
The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...
A former Park Avenue private equity adviser appears to have worked out a plea bargain on charges that he scammed hundreds of investors—including his firm’s ...
GPB Capital, the private equity fund adviser at the center of multiple fraud investigations, says it’s down to its last few million dollars. GPB once ...
Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...
The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...
A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...
A federal grand jury has indicted a portfolio manager whom prosecutors say reaped millions in a years-long insider trading scheme that included leaking details of ...
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