Examinations Enforcement: Settlement

The forgery count for which Dierman was found guilty was premised on his forgery of a signature on a written instrument in September 2011 to ...

The mail fraud count to which Wanner pleaded guilty was premised on his operation of a fraudulent scheme between 2000 and 2015 in which Wanner ...

the settling defendants consented to the entry of final judgments permanently enjoining them from future violations of various provisions of the federal securities laws, and ...

Instead of obtaining ADRs directly from Depositaries, Merrill’s securities lending desk, in over 40,000 transactions from June 2012 until approximately November 2014, obtained ADRs from ...

It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ...

Cody defrauded clients by falsely assuring them that their retirement savings were secure when he knew they were not. In fact, by some time in ...

The Commission’s complaint alleged that Lerman negiligently engaged in conduct in connection with the offering of interests in Pangaea Trading Partners LLC (“Pangaea”) that operated ...

The Commission’s complaint alleged that Gladtke engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held itself out ...

The Commission’s complaint alleged that DePalo engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held itself out ...

Talimco, which owed a fiduciary duty to both the seller and buyer, breached its duty to the seller in violation of Section 206(2) of the ...