Examinations Enforcement: SEC Actions

You'd go a long way toward satisfying the SEC during an exam if you concentrated on (1) disclosures (2) custody (3) the accuracy of your ...

A copy of a 2009 document request letter that originated in the Chicago regional office of the SEC.

A copy of an SEC document request letter issued by the San Francisco regional office.

Some days the investor was a Swiss money manager. Other days a private bank in Switzerland. In the end, the deep-pocketed investor was simply a ...

Reports from across the country describe a pattern of almost frenetic activity by SEC examiners visiting investment advisory firms in recent weeks. The top issues ...

If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...

A U.S. Court of Appeals has sided with the SEC in a case of accounting fraud for when the clock starts ticking toward the end ...

A federal judge in Texas March 5 ordered a trustee overseeing assets held by companies owned by Robert Allen Stanford to unfreeze about 12,000 investor ...

If you get a call from someone purporting to be an SEC examiner asking for documents for an “emergency” exam, ask for the caller’s name, ...

The SEC has amended its legal complaint against Robert Allen Stanford, his investment advisory firm and related others to declare that for “at least a ...