Examinations Enforcement: Settlement

This proceeding arises out of a significant overstatement of assets under management and compliance failures by Ariston Wealth Management, an investment adviser formerly registered with ...

Ariston misstated in filings with the Commission that it had $32 million in AUM in November 2011 when it had less than $20 million in ...

Financial advisers, the fund manager and other CAI staff involved in the marketing of the funds made false and misleading statements regarding the risks associated ...

The SEC alleges that James R. Glover orchestrated the fraud by enticing family, friends, and fellow church members to become his clients at Signator and ...

While he lacked sufficient information to know that Glover’s statements to investors were false, Williams did accept undisclosed fees from Colonial Tidewater. As an investment ...

This matter concerns improper practices involving municipal securities by Wishman during her tenure as head of the municipal syndicate desk at Edward D. Jones & ...

This matter concerns improper practices involving municipal securities by Edward Jones, a retail-oriented broker-dealer based in St. Louis, Missouri. As an underwriting co-managing syndicate member for ...

In 2010, Jacobs made redemptions in excess of his capital account balances. During 2010 and 2011, Jacobs redeemed his own investment interest and that of ...

As a result of the Commission’s actions, Esposito has been permanently enjoined and barred from participating in any offering of a penny stock and from ...

GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loan ...