SEC Actions

These amounts are effective beginning on January 15, 2022, and will apply to all penalties

ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients

Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...

The defendants improperly registered Bóveda with the Commission as an Internet IA

Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...

Abbate held the titles of COO and portfolio manager for fund A and the titles of CIO and portfolio manager

The scheme was to fraudulently bill clients for fees to which Yellowstone Partners was not entitled under the terms of the investment agreements

Global failed to have reasonable written policies and procedures in place to confirm that the LPA and PPM were consistent on key points, including in ...

Firms should confirm that the disclosures in their relationship summaries comply with the adopted instructions to Form CRS

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...