Examinations Enforcement: SEC Actions

The SEC alleges that Renwick Haddow, a U.K. citizen living in New York, created a broker-dealer and did not register the firm with the SEC ...

A sentence has been handed down in a cherry-picking case that highlighted the SEC’s ever-increasing power to analyze trade data to detect suspicious trading patterns. ...

There is a price to pay when you sign off on certifications that your firm is in compliance with “pre-release agreements” for American Depositary Receipt ...

The SEC previously charged Breton and his firm Strategic Capital Management, LLC on January 25, 2017. The SEC's complaint alleges that Breton and Strategic Capital ...

Filing thousands of Suspicious Activity Reports per year doesn’t necessarily mean your Bank Secrecy Act compliance program hits all of its marks. Alpine Securities Corporation, ...

On May 31, 2013 – ostensibly to comply with the soon-to-be entered June 3, 2013 Commission Order – Scott resigned from all of his roles ...

The SEC's complaint alleges that Alpine Securities Corporation routinely and systematically failed to file SARs for stock transactions that it flagged as suspicious. When it ...

The SEC charged Broidy and BWA with fraudulently overbilling clients and stealing assets from their trusts to pay such personal expenses as his home mortgage, ...

Another shoe has dropped in the ongoing investigation of a “pay-to-play” bribery scheme involving the New York State Common Retirement Fund. A second senior executive ...

Charging your clients additional fees for no additional services is sure to garner scrutiny from the SEC. The Connecticut-based Momentum Investment Partners (dba as Avatar ...