Examinations Enforcement: SEC Actions

Wilson registered Black Diamond with the Commission as an investment adviser. In the initial Form ADV registration statement Wilson signed on Black Diamond’s behalf—as its ...

The SEC’s ReTIRE initiative and the work of the Commission’s broker-dealer task force is continuing to bear fruit—this time in the form of another enforcement ...

Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in ...

They were involved in a scheme concerning Liberty Silver in which Genovese sought to increase dramatically the company's share price and volume and sell ...

Lester, through his management of Rubicon, negligently causing CFI to purchase assets from another entity managed by Rubicon without conducting a proper valuation, and Lester ...

This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...

One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO.   In a new settlement, ...

Charles A. Banks, IV fraudulently induced the former professional athlete to invest $7.5 million in a sports team apparel and merchandise company based on a ...

Eric David Wanger was the owner, chief compliance officer, and president of Wanger Investment Management, Inc. (“WIM”), a formerly Commission-registered investment adviser. In order to ...

On radio shows broadcast on at least two Christian radio networks, some of the Respondents, including Rose and Leeman, described the Verto Note program and ...