Examinations Enforcement: Settlement

These proceedings arise out of WT’s and WAM’s failure to establish, maintain, or enforce written policies and procedures reasonably designed, taking into consideration the nature ...

Briargate, an unregistered proprietary trading firm based in New York, New York, and Oscher, one of its principals, utilized a market manipulation strategy known as ...

Although Blackstone disclosed that it may receive monitoring fees from portfolio companies held by the funds it advised, and disclosed the amount of monitoring fees ...

The Commission’s complaint alleged that Palermo committed insider trading by trading in the securities of Pharmasset, Inc. based on material, nonpublic information in advance of ...

All the signs of trouble were there if only CCO James Goodland had paid attention to them, according to a new enforcement settlement with the ...

Goodland failed adequately to respond to red flags concerning Richards’ conflicts of interest, his unusual trading in client accounts and his numerous emails with a Gatekeeper ...

Richards, an investment advisory representative associated with Securus Wealth Management, engaged in a manipulative scheme to support the market price of the common stock of ...

Latour Trading sent approximately 12.6 million Intermarket Sweep Orders that did not comply with the requirements of Reg NMS. Rule 611 of Reg NMS, also ...

The SEC announced actions against these firms: BB&T Securities; Comerica Securities; Commerce Bank Capital Markets Group; Country Club Bank; Crews & Associates; Duncan-Williams; Edward D. ...

Srivastava, a software engineer turned Internet marketer, directed the scheme. At Srivastava’s request, his friend Kavuri took the lead in designing and marketing the Profits Paradise ...