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Examinations Enforcement: Settlement

This proceeding involved breaches of fiduciary duty and materially misleading statements and omissions by CEC, an investment adviser formerly registered with the Commission, and its founder, ...
This settlement recites "systemic compliance failures" tied to Barclays acquisition of Lehman Brothers. It includes books and records failures that prevented Barclays from identifying its ...
This private equity fund adviser settled an SEC enforcement case by agreeing to pay more than $2 million for Advisers Act violations. These included not ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.
Your obligation to seek best execution leaves it up to you to decide how to achieve it. There are suggested best practices (IA Watch, Aug. ...
News from a law firm that you can win in challenging an enforcement action rings like a horse track announcing you could take home the ...
This case settled with the firm's CCO being fined $35,000 for knowingly putting out a false Form ADV brochure.
This is the first SEC enforcement settlement in a case charging retaliation against a whistleblower. The SEC eventually awarded the unidentified whistleblower $600,000.
George Franz's career in financial services came to a close last week. His investment advisory firm, Ruby Corporation ($21M in AUM) in Beachwood, Ohio, will ...
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