Examinations Enforcement: Settlement

Ragas defrauded his client by misappropriating money from the client’s retirement account, by transferring funds from his client’s retirement account by wire to a personal ...

The Commission’s complaint alleged that, from 2008 through at least 2014, the Respondent and his brother engaged in a fraudulent Ponzi scheme, where Respondent falsely promised ...

Respondent failed to have systems that would reasonably be expected to ensure that Sandru’s heightened supervision plan was disclosed to and implemented by his supervisors. As ...

Bastron, however, never signed the PDP, never sent a copy to Sandru, never returned the PDP to Compliance and failed to implement any of the ...

Burrill took this money to cover cash shortages in his non-Fund III related Burrill & Company businesses, pay employee salaries, and to support his lavish ...

The SEC alleges that Tobin Smith and NBT Group Inc. were paid to prepare and disseminate e-mails, online blogs, articles, and other communications touting the ...

The criminal information alleged that Akel and his co-conspirators carried out this scheme by soliciting millions of dollars from investors under false pretenses, manipulating the ...

Canaccord violated Section 5(b)(1) of the Securities Act when it initiated research coverage of an issuer (the “Issuer” or the “Company”) on April 18, 2012, ...

Detter and Malone were aware of the conflict posed by performing both municipal advisor services and underwriting services for the Offerings. For example, in an ...

This proceeding arises from breaches of fiduciary duty and multiple compliance failures by Respondents Royal Alliance, SagePoint and FSC in their feebased advisory businesses. American International ...