SEC: Enforcement

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

The SEC adjusts penalties due to inflation

Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry

Those who focus their glare of inquiry on others will have the lens turned on them, as the SEC’s Office of Inspector General has revealed ...

Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”

Goldman "did not adopt written policies and procedures governing how GSAM FE evaluated ESG factors as part of the investment process until some time after ...

The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...

"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...

Fiscal year 2022 proved a windfall for the SEC, as it issued $6.4 billion in penalties, interest and disgorgement, a whopping 68% higher than FY ...