Examinations Enforcement: Settlement

Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him ...

The Commission’s complaint alleged that, in connection with the offer, purchase, or sale of securities in the form of units of membership interests and promissory ...

Genesis’s written policies and procedures required it to disclose such conflicts of interest to its clients in the firm’s Form ADV Brochure. During 2014 and ...

These proceedings concern conflicts of interest that were not properly disclosed and broker-dealer registration violations by registered investment adviser FAM and its two principals, Shamburger ...

Peter de Roetth, with Chris de Roetth’s knowledge, made concentrated efforts to get Ms. Doe to sign an amendment that continued her trust for twenty ...

Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...

After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund administrator to repay the ...

Between January 22 and February 26, 2010, SHCP generated no less than $460,803.84 in trading revenue as an unregistered broker-dealer. Additionally, in March 2010, SHCM ...

School Services undertook the solicitation of municipal entities without being registered with the Commission. School Services’ emails and phone calls to school districts were “communications” ...

This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in California. In 2010, Congress enacted ...