Examinations Enforcement: Settlement

BNY Mellon IA compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared for all Overlay Fund investments, and thus lacked pertinent ...

Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...

FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options

Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...

Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha

Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...

Muntin misappropriated over $305,000 from one of his elderly, investment advisory clients

Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management

The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...

Benefits of the pooled trust investors have been put at risk because, in reality, FPC operated and managed the trusts for its own profit