Examinations Enforcement: Settlement

It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...

This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.

Your obligation to seek best execution leaves it up to you to decide how to achieve it. There are suggested best practices (IA Watch, Aug. ...

News from a law firm that you can win in challenging an enforcement action rings like a horse track announcing you could take home the ...

This case settled with the firm's CCO being fined $35,000 for knowingly putting out a false Form ADV brochure.

This is the first SEC enforcement settlement in a case charging retaliation against a whistleblower. The SEC eventually awarded the unidentified whistleblower $600,000.

George Franz's career in financial services came to a close last week. His investment advisory firm, Ruby Corporation ($21M in AUM) in Beachwood, Ohio, will ...

After SEC examiners descended upon a firm and found evidence that clients were being overcharged because account balances weren't being aggregated to qualify for breakpoint ...

This dually-registered adviser settled a case in which the SEC asserted it failed to apply advisory fee discounts to certain retail clients in several of ...

This settlement involved a swindler who raised money on behalf of supposedly private equity funds.