Examinations Enforcement: SEC Actions

The SEC has requested additional information from more than two dozen pension fund managers and others in its on-going investigation into so-called pay-to-play pension schemes(IA ...

A former CCO who co-founded an investment advisory firm 16 years ago has settled a civil case with the SEC but awaits criminal charges in ...

By now you've heard about the Evergreen Investment Management case and the SEC's settlement with the Boston-based firm for more than $40 million. But perhaps ...

When SEC examiners descended upon the Stanford Group Company in January, they kept alluding to their 2006 visit, which drew blank stares from the compliance ...

A copy of the SEC's document request letter from its January 2009 exam.

In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...

For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...

The SEC alleges a Wisconsin advisory firm and two of its principals took millions in undisclosed kickbacks, breached their fiduciary duties, misrepresented the quality of ...

A copy of an SEC document request letter from May 2009.

Phone records are behind the SEC's first case involving allegations of insider trading of credit default swaps by a hedge fund. The agency has charged ...