Examinations Enforcement: Settlement

We’re left to wonder why WFG Advisors ($1.4B in AUM) in Dallas would pay a compliance consultant to come in twice, be warned that the ...

Weiss failed to disclose numerous conflicts of interest concerning the investments, including that Weiss had a financial interest in the French company and that Weiss ...

WFGA overcharged clients in one of its advisory wrap account programs contrary to its disclosures to these clients. WFGA represented to clients participating in a ...

Leveraged trades conceived by Merrill Lynch in the dark days of the financial crisis has led to a huge fine against the dual-registrant years after ...

Jane Fry did little or no work at RSA or for FHC clients, did not have an RSA desk, phone, or computer and was rarely ...

This matter arises from significant violations of the Customer Protection Rule that began during the Financial Crisis and, in certain respects, continued until this year. ...

These proceedings involve Merrill Lynch’s failure to adequately disclose certain fixed costs in a proprietary volatility index linked to structured notes known as Strategic Return Notes ...

From approximately July 2010 through January 2011 (the “Relevant Period”), Respondents engaged in fraudulent trade allocation – “cherry-picking.” Respondents disproportionately allocated profitable trades to proprietary accounts ...

These proceedings involve the sale of both non-investment grade or “junk” bonds, and unrated bonds by Feltl & Company, Inc. (“Feltl”), a registered broker-dealer and ...

The count of the criminal information to which Bansal pleaded guilty alleged, inter alia, that Bansal knowingly obtained confidential documents from the FRBNY, without authorization, and ...