Examinations Enforcement: SEC Actions

Federal authorities filed charges Friday against two computer programmers who worked at Bernard L. Madoff Investment Securities. They claim Jerome O’Hara of Malverne, N.Y., and ...

The SEC has picked a hedge fund veteran to run its exam program out of the New York Regional Office. Norm Champ, who has been ...

You're likely to find Matthew Weitzman of Armonk, N.Y., at home these days. A judge wants it this way. The former CCO at AFW Wealth ...

Allegations of disposable cell phones used to relate secrets, a lawyer who divulged pending acquisitions, suspects deploying code words and a broker-dealer known as "the ...

Create a plan for responding rapidly to SEC document request letters and put thought into any claims of privilege before examiners arrive (IA Watch, 10/19/2009).These ...

The deficiency letter received by a firm in the mountain west listed mostly items related to custody, according to a CCO who filled us in ...

This could be the story of the year for compliance staff to clip and show their bosses. The SEC last week began a failure to ...

So what would it cost your firm each year should Congress grant the SEC the right to charge RIAs a user fee to cover the ...

The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...

The Department of Justice Friday announced criminal fraud charges against some prominent hedge fund managers, including Raj Rajaratnam, a portfolio manager with the Galleon Group, ...