Examinations Enforcement: Settlement

The Commission’s complaint alleged, among other things, that Sarris violated the antifraud provisions of the federal securities law in connection with convincing 70 individuals to ...

A manipulative trading scheme to artificially inflate the market price and trading volume for the common shares of IceWEB has led to the barring from ...

This matter arises from misstatements made by registered investment adviser Cantella to certain of its advisory clients, including clients with separately managed accounts invested in F-Squared ...

In addition, during an examination conducted by the Commission’s Broker-Dealer Examination staff (“exam staff”), Crucible, acting at Moore’s direction, provided the exam staff with altered documents ...

Rule 501 of Regulation AC requires that brokers, dealers, and certain persons associated with a broker or dealer, including research analysts, include in their research ...

We recently told you about former RIA owner Nick Rowe, who filed for bankruptcy while waging a multi-year battle to contest SEC fraud charges (IA ...

The Order alleged that Rowe and Focus Capital engaged in an investment strategy involving leveraged and inverse exchange traded funds (ETFs) that was unsuitable for ...

The Commission’s complaint alleged that, in connection with the sale of investment contracts, Williams misused and misappropriated investor funds, falsely stated to investors that their ...

Two of the biggest dark pool operators in the U.S. have agreed to the largest-ever penalties imposed on alternative trading systems. The firms were charged ...

Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...