The two advisers had overlapping owners, overlapping managers, overlapping advisory personnel, and overlapping operations including shared office space, without any policies or procedures to ensure ...
Collett did not reconcile the block trade tickets to the trade log to ensure that the block trades were properly allocated. Instead, Collett trusted that ...
In August 2024, Respondent filed 18 Forms 13F, which covered the period from the quarter ending December 31, 2019, to the quarter ending March 31, ...
Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying
The SEC asserts Randolph Abrahams made numerous misstatements in newsletters shared with investors
In total, since 2018, Hi2 Manager violated the custody rule on 17 occasions
The firm advertised that it was rated a 'Top 12 Financial Advisor' by Barron’s when it actually was rated a 'Top 1200 Financial Advisor' by ...
The firm has recognized and disclosed various conflicts so it lacked a reasonable basis for believing it would be able to substantiate an ad that ...
The ad claimed the firm 'provides clients with conflict-free advice' while the firm lacked a reasonable basis for believing it would be able to substantiate ...
These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public