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SEC: Enforcement

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HG Vora Capital Management failed to file the required Schedule 13D disclosing its “control” purpose, current shareholdings, and other specified information within ten days
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Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...
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Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
"investor interest in ESG has also led to significant growth in investment advisers offering ESG-branded investment products. This can also lead to situations where a ...
Stock Exchange Concept
Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...
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The Reg BI violations affected about 5,900 retail accounts, causing the clients to pay $936,000 more in expenses for substantially equivalent funds than they otherwise ...
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The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...
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In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
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Commission staff uncovered Cambridge’s misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers. Cambridge has initiated a ...
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During the time period that NMIS failed to maintain and preserve off-channel communications that its personnel sent and received related to NMIS’s broker-dealer business, NMIS ...
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