Administrative Proceedings

Dunkerley engaged in a scheme to defraud investors by orchestrating the acquisition of AAM and Hughes, and using their respective client funds to purchase ...

The complaint alleged that Aquino persuaded at least seven customers to maintain securities trading accounts with him at the firm and assured them that ...

The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not supported by ...

The Commission’s complaint alleges that Altahawi, in unregistered transactions, sold shares of Longfin Corp., shares of which were traded on the Nasdaq Stock Market (“Nasdaq”), ...

Respondent offered and sold millions of dollars of certain UBS-PR affiliated, non-exchange traded closed-end mutual funds (“CEFs”) to certain customers while soliciting them to ...

The Commission’s complaint alleged that Respondent engaged in various schemes to defraud her clients from 2013 through 2018. These schemes included: (1) forging withdrawal requests ...

For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and brother-in-law of Portfolio Manager ...

From January 2013 to February 2015, Palermo benefited from a manipulative trading scheme carried out by his long-time friend, a day trader (“Trader A”), that ...

In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clients ...

The indictment alleges that Premock raised approximately $1.3 million from his clients by making numerous misrepresentations, including that the clients would earn high rates ...