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Examinations Enforcement: Settlement
The indictment alleges that Segal conducted a fraudulent scheme in which he stole more than $3.2 million from clients and other investors through the sale ...
Bliss told investors that he day-traded exclusively in Apple stock and that he had never had a losing day. He claimed to manage more than ...
The Commission’s complaint alleged that Lindemann operated a fraudulent scheme through his private company, Gershwin Financial, Inc. and his sole proprietorship, Alternative Wealth Solutions. The ...
Respondent reported monthly account balances for the RIA client accounts which exceeded the funds’ values, as shown on custodial statements. RIA and its clients believed ...
The indictment alleged that Jackson stole a client’s money multiple ways. Initially, Jackson opened a Moloney account in the name of Jackson’s daughter and without ...
Hartshorn disproportionately allocated profitable trades to proprietary accounts and unprofitable trades to client accounts. Hartshorn purchased securities for both proprietary and client accounts through an ...
The Commission’s complaint alleged that, from at least April 2007 through May 2011, HCP, as the investment adviser of the RAHFCO Hedge Funds, engaged in ...
TPGS failed to ensure that client securities were maintained by a qualified custodian. For example: (1) paper stock certificates for certain securities purchased by IPE ...
The Ohio Order found that, based on this conduct, SICOR and Merrick breached the fiduciary duty owed to their clients and violated Ohio Administrative Code ...
CSC used email addresses other than those with the Firm’s domain name—@craigscottcapital.com—to electronically receive more than 4,000 faxes from customers and other third parties. These ...