Examinations Enforcement: Settlement

The client "contacted GWFS to report receiving a check for approximately $43,000 that he did not request. GWFS’ internal investigation determined that PPB’s personal information ...

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

First, the transaction had to be promoted and supported by Och-Ziff’s deal team in London, which was run by the head of Och-Ziff’s European office. ...

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