Administrative Proceedings

Shortly after his release from prison, Earls formed an investment adviser entity and hedge fund and began soliciting investors. From 2015 through 2018, in connection ...

CGMI failed to adequately disclose to all users that orders sent to Citi Match could be routed to, and executed in, various external venues. This ...

These proceedings arise out of Convergex’s failure to submit to the Commission true and complete data in response to Commission staff electronic blue sheets (“EBS”) ...

Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party broker-dealer (“Custodian A”) ...

Respondents immediately halted the offering when contacted by the Commission staff and undertook a review of CAM’s website, marketing materials, and offering procedures. In addition, ...

Because the digital tokens issued in the ICOs and traded by Respondents included securities, the Respondents’ activities required broker-dealer registration with the Commission. By effecting ...

These proceedings arise out of the failure by Cadaret Grant, Grant and Johnson (the “Supervisory Respondents”) reasonably to supervise Cadaret Grant’s registered representatives with respect ...

BB&T Investment Services failed to disclose sufficient facts to enable clients to determine that the compensation arrangement between BB&T Investment Services and the Affiliated Adviser ...

VSS and Stevenson received preliminary information indicating the Fund III NAV had potentially increased significantly during the first quarter of 2015 from the 2014 NAV, ...

BCM compliance manual stated that employees were required to “avoid establishing financial interests or outside affiliations that may create a conflict or appear to create ...