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SEC: Enforcement

Businessman hand caught on a fishing hook with bait dollars money banknote. Business concept idea. fraud, risk, danger, bribe
Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...
Accident. stumble and fall while jogging
The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...
'We need to pay attention to the scope of the duties created by the agreements we sign'
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
Business Stock Exchange Trading Concepts
Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...
"Regulators should be expected to exercise appropriate judgement in carrying out its investigative and sanctioning authority and to have an articulable basis for those decisions. ...
SEC Commissioner Peirce
"I urge people who have suggestions about how the Commission can right its course on crypto and innovation more broadly, to send them my way"
justice
Firm was victim of Hollywood scam, gets credit for prompt remediation
Penalties top $5 billion, Grewal seeks 'three e's'
"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...
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