Administrative Proceedings

The Commission’s complaint alleged that between 2008 and March 2018, Respondent Maccoll defrauded at least 15 of his retail brokerage customers out of nearly $4 ...

This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the valuation of two ...

Nabors admitted that he entered into an agreement with a U.S. Department of Treasury Management Analyst whereby the Management Analyst was to use government credit ...

Hotton consented to a forfeiture money judgment of $1,800,000, which would be partially satisfied by forfeiture of his right, title, and interest in a 2010 ...

The adviser failed to apply advisory fee discounts to certain client accounts contrary to its disclosures, representations to clients, and its advisory agreements.

Paragon offered and sold PRG tokens in a general solicitation that included investors in the United States. Investors purchased their PRG tokens in exchange for ...

Woodley submitted a series of invoices to his custodian to collect funds from client accounts as compensation purportedly for services performed or investments made on ...

Palermo entered certain fictitious sales orders in J.P. Turner’s books, records and electronic trading systems, despite knowing that the named counterparty/purchaser had never agreed to ...

Simanski made material misrepresentations to his clients to induce them to send money to him personally to invest in companies which he claimed to own ...

ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order information for ...