Examinations Enforcement: Settlement

Compliance staff at Goldman Sachs did some good things but also erred in overseeing weekly "huddles" consisting of research analysts sharing their trading opinions with ...

SEC examiners first spotted the issue and last week the enforcement staff settled a case for $300,000 against an RIA that failed to follow written ...

You may wish to redouble your efforts to correct serious deficiencies found in your last SEC exam after last week's announced enforcement actions from the ...

Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan Stanley ...

Last week Citigroup's number came up in the SEC's investigation of scandalous CDO sales tied to the real estate collapse, and it was another big ...

Like father, like son. The SECalleges a former Goldman Sachs employee engaged in insider trading by passing on information to his father on coming ETF ...

It's not every day the SEC settles with a firm for $850,000 in a case that harmed no investors but hangs only on shoddy compliance ...

It's been an expensive month for J.P. Morgan when it comes to settling SEC cases. Last week it contributed $228 million to settle charges with ...

A look at SEC settlement activity for the first half of FY 2011 discovers that the agency settled only 25 insider trading cases. However, the ...

Nearly six months after IA Watch reported Morgan Keegan had reserved $200 million to resolve fraud charges (IA Watch, Jan. 3, 2011), the company last ...