Home SEC Actions

SEC Actions

The latest from the SEC.

"Cyber threat actors are becoming more aggressive and sophisticated"
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
The proposal would expand the list of entities that may qualify as accredited investors
Burroughs executed a scheme to defraud his investment clients that resulted in him misappropriating approximately $575,000 from three investors
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
Regulation Best Interest expressly applies to account recommendations including recommendations of securities account types
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration
JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts
A Private Investment Fund or Privately-offered RIC should not be deemed to be "narrowly held"
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
The SEC claims this case is about lying, forgery, and other deceptive conduct by Alan Seidel and Benjamin Mekawy
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...
Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities
I cannot ignore the thousands Rossi spent gambling.
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination