Examinations Enforcement: Settlement

Oppenheimer’s supervisors, who were responsible for supervising junior employees, routinely communicated off-channel using their personal devices. In fact, senior management, managing directors, and other Oppenheimer ...

The federal securities laws impose recordkeeping requirements on broker-dealers and registered investment advisers to ensure that they responsibly discharge their crucial role in our markets.

These proceedings arise out of the widespread and longstanding failure of USBI employees throughout USBI, including at senior levels, to adhere to certain of these ...

The Firms failed to keep for prescribed periods, and furnish copies of, such business–related records as necessary or appropriate in the public interest or for ...

In 1992, Bodner pleaded guilty in federal court to misdemeanor fraud in connection with his use of an impersonator to take his Series 7 exam ...

Heed these lessons: If a client questions you on returns, do the math. Be straight with them. And backup your data

Shaughnessy made material misstatements and omissions to the client about the reasons for the performance discrepancies

The Aon Partner attributed the error to “data corruption” that “was due to an error by an analyst in uploading NAV and cashflow data from ...

JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...