SEC Actions

Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...

Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits

Chairman looks back and ahead at his regulatory agenda

Rule clarifies proprietary trading and ownership of hedge or private equity funds

A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II

"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"

MS sold customers more expensive share classes when less expensive share classes were available

OCIE releases results of IC exams

SEC claims adviser failed at its fiduciary duty; advisers fires back

Settlement follows criminal case plea that could land the CCO in jail