Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...
Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha
Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...
“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...
[W]e are of the view that greater transparency and more robust investor protections could assist investors in evaluating and making investment, voting, and redemption decisions ...
Muntin misappropriated over $305,000 from one of his elderly, investment advisory clients
High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims
"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...
Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management
The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...