Examinations Enforcement: SEC Actions

One CCO didn't do enough to preserve firm records, including instant messages. The other pilfered from clients, helping to scuttle his wife's firm.Earlier this month, ...

Thirteen days after SEC examiners arrived last month at his RIA to conduct a for-cause exam inspired by a tip, CEO/CCO Ken McLeod shot himself, ...

Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...

Some firms that are considered the highest frequency traders have received subpoenas for data designed to help regulators understand the cause of the May 6 ...

Alleged violations of its fiduciary duty to investors resides at the heart of the SEC's civil case against RIA ICP Asset Management ($11.4B in AUM) ...

As the SECdescribes it, a former fund chairman and the head of a now-deregistered RIA, Moore Clayton Capital Advisors, cut a secret deal to persuade ...

It's not often the Big Apple takes from the Second City. Last week the SEC's regional office in New York ripped a page from its ...

The alleged Ponzi scheme features an RIA that may have ripped off Hollywood notables, a central figure who authorities claim used clients funds to buy ...

It may stick out in an examiner's mind if your firm spends gobs of cash for the spiffiest technology for business purposes but relegates compliance ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...