Examinations Enforcement: Settlement

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

Sports agents, university coaches utilized in cash solicitations scheme

Steven Pagartanis was a registered representative associated with broker-dealers registered with the Commission. Pagartanis, 60 years old, is a resident of East Setauket, New York ...

During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...

Principal, who also serves as CCO, required to take a minimum of 8 hours of compliance training over next 3 years

Van Wyk was aware that a DIA client who had entered into a limited partnership investment contract with Essex Capital was having difficulties collecting over ...

Individual not formally associated with firm allowed to advise clients

The firm's Chief Compliance Officer recommended that Spitzer terminate APA’s association with the Adviser Representative however Spitzer decided not to. Now he's fined $20,000

Initiative has yielded $2.7M in restitution to customers owning 3,900 accounts

Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts