Examinations Enforcement: Settlement

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...

Stephens settled with the SEC for operating as an unregistered broker and earning transaction-based income in luring clients to a private equity fund adviser.

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

It took a settlement offer and a $30,000 fine for the SEC to drum into a New York investment adviser that it must finally give ...

You've heard the tale of Evergreen Investment Management Company before, along with compliance lessons from its fall (IA Watch, Jan. 30, 2012). The once mighty ...

One RIA CCO pumped up his clients' holdings by playing with the decimal points in a failed attempt to claim SEC registration. A second CCO ...

This adviser withdrew its registration after a slew of compliance violations, including lacking adequate compliance P&Ps and failing to maintain various books and records such ...

If inflating his firm's AUM on its Form ADV were his only crime, Eugenio Verzili might still have a job. This month the agency barred ...

Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and ...

The entities settled a case that had at its root undisclosed compensation, which was obtained by charging increased commissions on trades for clients through its ...