Examinations Enforcement: Settlement

The count of the indictment to which Gonzalez Seijo pled guilty alleged that he was an independent insurance agent who offered variable annuities, among other ...

A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment advisory account by asking Davis, ...

Catledge solicited investments, through the marketing entity known as Net Worth Solutions, involving the offer and sale of over $163 million of investment contracts in ...

According to his plea agreement and the indictment, the securities fraud counts to which Moter pleaded guilty were premised on his operation of a fraudulent ...

On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Finance, LLC (“ACF”), one of ...

The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making false ...

In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank ...

The overcharges included expenses related to Society of Worldwide Interbank Financial Telecommunication (or “SWIFT”) messages, a secured messaging network used by banks and other financial ...

These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a municipal bond offering. In ...

The Commission’s complaint alleged that, during the period from 2011 through 2014, Dean recommended to thirteen customers a pattern of high cost, in-and-out trading without ...