Examinations Enforcement: Settlement

In connection with the municipal advisor hiring process for five of SBCI’s school district clients, Keygent, Hsieh, and Wang improperly received confidential information about the hiring ...

From at least 2000 through at least August of 2011, The Bank of New York Mellon (“BNYM”) and its predecessors, The Bank of New York ...

Respondents paid transaction-based compensation to unregistered broker-dealers, causing the broker-dealers to violate Section 15(a)(1) of the Exchange Act. Those unregistered broker-dealers, who were mostly immigration ...

This case involves two fraudulent trading schemes by Behruz Afshar (“Behruz”) and his twin brother, Shahryar Afshar (“Shahryar”), and their close friend, Richard F. Kenny, IV ...

The SEC alleges that Guolin Ma traded on confidential information he obtained while advising the two firms as they pursued a buyout of Silicon Valley-based ...

This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information, in violation of Rule 30(a) ...

Between 2011 and December 2014, Marsh was first a Client Service Associate and then a Financial Advisor at Morgan Stanley Smith Barney LLC (“MSSB”), a ...

From at least August 2010 through October 2015, Albert Fried & Company, LLC (“Albert Fried”), a registered broker-dealer, failed to file Suspicious Activity Reports (“SARs”) ...

These proceedings arise from violations by registered private equity fund adviser BCM and its principal, Gunty, relating to: (i) the receipt of transaction-based compensation for ...

FGIMC did not establish or maintain written policies or procedures for identifying outside consultants who – based on their functional roles and whether they had ...