Examinations Enforcement: SEC Actions

Amell carried out a fraudulent matched-trades scheme in which he prearranged the purchase or sale of call options between his own account and the brokerage ...

An unidentified investment adviser in Chicago trolling a hedge fund database came upon another adviser who claimed impressive returns using a “proprietary” algorithm. The Chicago ...

Meadlin disseminated dozens of emails to prospective investors and clients in which he inflated Hyaline's assets under management (AUM), claiming that Hyaline managed between $17 ...

The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including ...

Dawn Bennett may have chosen to ignore the SEC’s ALJ setting and the Commission but that didn’t stop the two current Commissioners from kicking her ...

The SEC alleges that Lawrence F. Cluff, Jr. and Roger E. Shaoul were in possession of material nonpublic information about the impending acquisition when they ...

Nevertheless, in 2013, LFC underwrote an additional five Brogdon Bond Offerings. Lynch again served as an investment banker and underwriter’s counsel and in that capacity ...

Had LFC actually conducted due diligence on the material representations contained in the official statement, including conducting EMMA checks, LFC would have detected that no ...

It appears that Daniel Glick was a classic recidivist who preyed on senior investors. The Chicago-based investment adviser and his unregistered investment advisory firm Financial ...

Cohn raised nearly $1.8 million from investors through his hedge fund by lying to investors about his success as a trader, the performance of ...