Examinations Enforcement: SEC Actions

Rep allegedly defrauded novice investors out of at least $4.8 million, resulting in more than $2 million of investor losses

Good raised at least $4.8 million in this scheme, including through at least 30 fraudulent investments since 2017. Good did not however use the clients’ ...

Rivero convinced at least five of his clients and customers at Financial Institution A – some of whom over eighty years old and/or disabled – ...

CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...

The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...

Case offers early lessons in delegation, cooperation

Robos must ensure their marketing materials don't mislead and that conflicts are disclosed to investors

The number of such Commission enforcement actions has now been pushed to 42, self-reporting suggested

Ahead of proposed audit rule, staff has gone deep on audit trail

'You’ve got to make sure that employees understand what the rules are,' expert warns