SEC Actions

Rajaratnam is barred from association with any investment adviser

Under Asset Manager A’s policies and code of ethics, Wygovsky was required, among other things, to comply with fiduciary obligations to Asset Manager A’s advisory ...

Despite multiple alerts accurately identifying disbursements from May’s advisory clients that raised red flags, AML analysts failed to conduct the required analysis. As a result, ...

Paris made trades for his personal account and BAM Clients’ accounts using an “omnibus account.” He later distributed those trades to a selected client account ...

Neovest continued collecting transaction-based compensation for its OEMS Platform after Neovest Trading deregistered

Crown predominantly recommends and invests advisory clients’ uninvested cash in money market funds for which the Clearing Broker has agreed to pay Crown the highest ...

The Exchange Act prohibits "any person from taking any action to impede an individual from communicating directly with the Commission staff about a possible securities ...

The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...

Intervest and Carson caused certain advisory clients to invest in Standard Units and Fund Class A shares when otherwise identical, but less expensive, Fee Account ...

Chairman looks at Reg D, ESG disclosures, insider trading, Form PF and much else