SEC Actions

Garrison Point failed to implement its compliance policies and procedures concerning its role in valuing Fund securities

The SEC's complaint claims the CCO "engaged in subterfuge to conceal her misconduct," including allegedly hacking into her colleagues’ computers

The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...

In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program

Hansen was sentenced to 60 months in prison and ordered to repay $2.2 million

BNY Mellon IA compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared for all Overlay Fund investments, and thus lacked pertinent ...

Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...

FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options

Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...

Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha