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SEC: Enforcement

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Merrill personnel became aware that Harvest was not systematically adjusting the number of options contracts that Harvest purchased in numerous accounts with pre-2017 IMAs, but ...
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Brighton did not disclose the incentives related to the Clearing Agreement to its advisory clients and prospective clients until June 2022 when it revised its ...
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The firms provided certain personnel with firm-issued devices that included technology that enabled the capture, retention, and archiving of communications (including text messages) sent and ...
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After discovering the off-channel communications, the firm voluntarily conducted an internal review ... and took remedial actions by making changes to its compliance program, including ...
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Vista and Ruben Cedrick Williams falsely claimed in the adviser's Form ADV filing that the firm had $10B in AUM and then stating its AUM ...
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The investments were unreasonable and unsuitable for the clients
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State Farm failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Regulation BI because it did not provide ...
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The five business day restricted period under Rule 105 began on August 30, 2023. Because Gates Capital, on behalf of its fund clients, sold short ...
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Form 13F requires institutional investment managers to disclose the fair market value of its Section 13(f) Securities under management
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The adviser has had investment discretion over at least $100 million of reportable securities and was obligated to file quarterly Forms 13F beginning by 2020., ...
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