Examinations Enforcement: Settlement

These proceedings arise out of the failure of Biscayne Capital International, LLC (“BCI”), formerly a U.S. registered investment adviser, to disclose facts giving rise to ...

Stanfill pled guilty alleged, inter alia that between 2008 and January 20, 2015, through Stanfill Wealth Management, LLC, Stanfill purported to invest money on behalf ...

Simply put, Mickelson made money that wasn’t his to make. This action against Mickelson makes clear we will pursue both those who engage in insider ...

Respondents failed reasonably to supervise Douglas E. Cowgill (“Cowgill”), the former Chief Compliance Officer (“CCO”) of Professional Investment Management, Inc. (“PIM”), an investment adviser registered ...

The U.S. Securities and Exchange Commission has reached at least $90 million in settlements with GPs since it started scrutinizing the industry in 2012. That amount is ...

This matter involves repeated failures by SPC, an accounting firm, and Joseph A. Scolaro, an SPC partner, in connection with SPC’s examinations of client funds ...

The Commission’s complaint alleged that, Bliss provided investment advice to a pooled investment vehicle and offered and sold investments contracts to numerous investors. The complaint ...

Lujan devised and facilitated sham arrangements to conceal multi-million-dollar kickback payments to the Vice President of Finance at Banco de Desarrollo Económico y Social de ...

Clarke devised and facilitated sham arrangements to conceal multi-million-dollar kickback payments to the Vice President of Finance at Banco de Desarrollo Económico y Social de ...

Chinea devised and facilitated sham arrangements to conceal multi-million-dollar kickback payments to the Vice President of Finance at Banco de Desarrollo Económico y Social de ...