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Examinations Enforcement: SEC Actions

Avatar and Fernandes failed to disclose material conflicts of interest in connection with investments Avatar made in new mutual funds that it created and managed. ...
Despite the multitude of lessons learned from the Bernie Madoff Ponzi scheme unearthed nine years ago, the SEC continues to bring Ponzi scheme charges against ...
The SEC's complaint, filed on October 1, 2015, alleged that Wells falsely told some investors that he was a registered investment adviser and would invest ...
In 2011, the SEC charged Illarramendi and various entities owned or controlled by him, including investment advisers Highview Point Partners LLC, and Michael Kenwood Capital ...
The SEC's complaint, filed in federal court in the Western District of North Carolina, alleges that between at least April 2010 and at least August ...
The SEC's complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, obtained key confidential details about upcoming decisions by the Centers ...
The SEC's complaint alleges that Yasuna Murakami misappropriated more than $8 million for business and personal expenses and made approximately $1.3 million in Ponzi-like payments ...
Investment advisers that were trading commercial mortgage-backed securities on behalf of their clients were among those allegedly defrauded by two former head traders who ran ...
On December 21, 2015, Monroe pleaded guilty to, among other things, one count of Grand Larceny in violation of N.Y. Penal Law § 155.4 (a ...
Sentinel and Varacchi misrepresented to investors that money they deposited with the firm would be allocated to up-and-coming hedge fund managers for investment purposes. According ...
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