Administrative Proceedings

During this time, Elste was aware that Pennant’s compliance program lacked sufficient resources but failed timely to address this deficiency, which contributed substantially to Pennant’s ...

Pennant, an investment adviser, negligently failed to perform adequate due diligence and monitoring of certain investments contrary to representations in its Form ADV Part 2A ...

Graham consented to a Commission order that, among other sanctions, imposed a securities industry bar and a penny stock bar with a right to apply ...

The Commission’s complaint alleged that, from 2014 to at least September 2018, Hitt, acting individually and through Kiddar Capital and Kiddar Group, raised at least ...

The Commission’s complaint alleged that, in his role as an investment adviser, Rothenberg schemed to defraud both the venture capital funds he managed and the ...

The Commission’s complaint, alleged, among other things, that from April 1, 2013, through December 31, 2014, Berkey violated the antifraud provisions of the federal securities ...

The Commission’s complaint alleged that, between 2004 and 2016, Rogicki perpetrated a fraudulent scheme in which Rogicki misappropriated approximately $9 million from a charitable foundation ...

Rampoldi purchased or caused to be purchased Ardea Biosciences, Inc. (“Ardea”) securities based on tips he received of material, nonpublic information regarding which he knew, ...

LCA did not implement policies and procedures reasonably designed to ensure that proper disclosures were made regarding its use of the BBFQ fund’s assets and ...

The mail fraud count to which DeShetler pleaded guilty alleged, among other things, that, beginning in early 2016, DeShetler began soliciting funds from clients by ...