Home Examinations Enforcement: SEC Actions

Examinations Enforcement: SEC Actions

The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...
The SEC's complaint claims the CCO "engaged in subterfuge to conceal her misconduct," including allegedly hacking into her colleagues’ computers
Case is the first ever enforcement action under Investment Company Act section 11
In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program
The SEC alleges that the defendants raised $410 million via the scheme from more than 2,200 investor
“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...
Perini Capital and CEO Michael Perini charged with directing principal trades without first providing disclosure and obtaining client consent
High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims
Rep allegedly defrauded novice investors out of at least $4.8 million, resulting in more than $2 million of investor losses
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination