Examinations Enforcement: Settlement

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 ...

Respondent violated the federal securities laws by failing accurately to document its CIP procedures, comply with the Commission’s CIP Rule, or create and maintain the required ...

The Commission’s complaint alleged, among other things, that while associated with Coastal IA and Coastal Equities, Donnelly engaged in a scheme to defraud his advisory clients ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves a violation of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of a municipal securities offering. Respondent, a ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...