Administrative Proceedings

The Commission’s complaint alleged that, in connection with the offer and sale of securities in the form of limited partnership interests in a series of ...

This matter involves a failure to register as a municipal advisor and other improper conduct by Eric Hall & Associates, LLC (“EHA”) and its principal, ...

The Commission’s amended complaint alleged that Bruton and Hope perpetrated a scheme to charge unearned fees to the HI Fund. Specifically, the HI Fund employed ...

This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundreds of radio advertisements ...

On November 4, 2015, a sentencing judgment in the criminal case was entered against Walker and she was convicted. She was sentenced to a prison ...

The criminal complaint to which Johnson was convicted, alleged, inter alia, that Johnson used her position as a financial advisor to transfer or attempt to ...

Wivolin admitted that she and her co-defendant defrauded a client of $100,000. In July 2008, at Wivolin’s recommendation, the client provided Wivolin with $100,000 for ...

Gathright admitted that between June 2010 and September 2011, he used his position at Merrill to cause companies maintaining annuities for his clients to issue ...

Cushing, on behalf of a hedge fund it managed, sold 1,565,786 units of a publicly traded master limited partnership (“MLP”) to a closed-end fund and ...

CA failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in ...