Home Examinations Enforcement: SEC Actions

Examinations Enforcement: SEC Actions

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...
Sideletter
SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...
Sports agents, university coaches utilized in cash solicitations scheme
At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...
This will empower senior officers to exercise the delegated authority of the Commission to authorize staff to subpoena documents and take sworn testimony
Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...
Principal, who also serves as CCO, required to take a minimum of 8 hours of compliance training over next 3 years
"The aura of success portrayed by the GPB and Ascendant Defendants was an illusion. In reality, GPB Capital used investor funds to cover the shortfall ...
Amogh Karney made untrue statements to an investor in connection with the offer and sale of $75,000 of securities in an investment fund that Karney ...
From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client
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