Administrative Proceedings

When considering funds for the Master List and MAAP, BMO Asset Mgmt evaluated the lower-cost institutional share class for both Proprietary Mutual Funds and non-proprietary ...

GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...

As a favor to Merrill, from whom Harding obtained substantial CDO business, Harding and Chau selected certain Norma BBB-rated notes without exercising reasonable care, adding ...

Cetera has paid cash fees to approximately 350 banks to, among other things, solicit investment advisory clients on behalf of Cetera. As part of this ...

On February 15, 2018, Lattanzio was convicted of two counts of securities fraud, violating 15 U.S.C. §§ 78j(b) & 78ff; and two counts of wire ...

Agarwal took short positions in U.S. Treasury Bonds (“USTs”) that exceeded his trading mandate, resulting in large losses. At the same time, Agarwal mismarked certain ...

The Commission’s complaint alleged, in substance, that from at least January 2012 through July 2016, Strong Investment Management (“Strong”) and its co-founder, owner, president, and ...

Hefren disclosed that it would use the Clearing Broker and that clients would pay a $7.95 transaction fee for clearing and executing a trade. ...

The Complaint alleged that Hu raised over $5 million from eight investors through false representations that prominent international law firms were legal counsel to the ...

Respondents failed to disclose that Rourke and Sherman had been contractually retained by Ecoark for three years beginning in May 2013 to provide consulting services ...