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Examinations Enforcement: Settlement

The portolio manager managed the Fund differently from what was represented to investors and their advisers
Burroughs executed a scheme to defraud his investment clients that resulted in him misappropriating approximately $575,000 from three investors
JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts
Based on Critical’s net long position, it should have tendered only 5,500 Lockheed shares and received only 3,637 Leidos shares
Based on Bluefin’s net long position, it should have tendered only 4,103,463 Lockheed shares
Kornitzer repeated failed to follow client instructions to reduce high concentrations in securities of a single company
The adviser didn't disclose that some Clients paid a lower commission rate than others
Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...
It doesn't always pay to listen to the boss
MS sold customers more expensive share classes when less expensive share classes were available
Settlement follows criminal case plea that could land the CCO in jail
If Migliorato had taken reasonable steps to follow-up with respect to the handling of ICBCFS’s pre-release transactions by securities lending desk personnel, it is likely ...
Within two years, Eisman would because famous for having predicted – and profited from – the cause of the Great Recession
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IPG Investment Advisors, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Independent Financial Group, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IC Advisory Services, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Henley & Company Wealth Management, LLC in connection with ...
Case suggests what type of fine an adviser may face for having not self-reported
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Comprehensive Capital Management, Inc. (“CCM”) in connection with its ...
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