Examinations Enforcement: Settlement

The counts of the criminal information to which Higgins pled guilty alleged, inter alia, that between 2007 and 2014 Higgins defrauded investors and advisory clients ...

The counts of the criminal indictments to which Price pled guilty alleged, among other things, that, while he was an associated person with Montgomery Asset ...

Cohen ignored red flags indicating that Martoma might have access to material nonpublic information about the clinical trial. Martoma in fact had access to material ...

J.P. Morgan Securities settled SEC charges Jan. 6 that it misled its private banking customers by stating that its brokers had “skin in the game” ...

This matter arises from false and misleading statements in certain JPMS marketing materials regarding how JPMS compensated registered representatives in its U.S. Private Bank (“JPM ...

The complaint alleged that King helped to persuade investors to invest in securities issued by GTI and assisted in the preparation and distribution of GAM’s ...

These proceedings arise out of insider trading by Shields. From May 29, 2012 to June 6, 2012, Shields purchased 12,600 shares of J. Alexander’s Corporation ...

Respondent participated in a fraudulent scheme to mislead investors and advisory clients about the capital structure of a hedge fund managed and advised by New ...

These proceedings concern a series of unlawful prearranged trades conducted by a portfolio manager/trader formerly employed by registered investment adviser MSIM which resulted in the undisclosed ...

These proceedings arise out of Respondent’s failure to seek to obtain best execution of certain customer orders. As a result of such failures, Respondent’s representations ...