SEC Actions

New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...

SEC proposes changing the advertising rule for the first time in decades

Jefferies was responsible for supervising its securities lending desk personnel .... failed reasonably to fulfill such supervisory responsibilities

BCP can file Form N-23C-2 on the same business day as the Company’s redemption of an entire class or series of its preferred shares

Burroughs "misappropriated his clients’ money, and provided his clients with fake documents to cover up what he had done"

Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...

The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation

"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...

Fake documentation was used to deceive clients

Goulding "used Nutmeg as his personal piggybank"