Examinations Enforcement: Settlement

A host of compliance slip-ups and CCO changes feed into this enforcement action

Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...

Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...

Firm failed to establish and maintain a supervisory system, including WSPs, to achieve compliance with Reg BI

"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry

"Since 2012, when Two Point first registered with the Commission, Two Point failed to adopt and implement reasonably designed compliance policies and procedures, and to ...