Enforcement

The defendants improperly registered Bóveda with the Commission as an Internet IA

Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO

"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...

Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

Education, policies and technology can help prevent cyber threats.

'This case does not plow new legal ground,' Commission lawyers tell federal judge

Wedbush’s WSPs provided that, if any of the above warning signs appears, a registered representative should bring it to the attention of the Wedbush Sales ...

Siniscalchi was an associated person and Chief Compliance Officer of Indio Entertainment, an investment adviser registered in California as an exempt reporting adviser

Respondent’s employer then raised approximately $1.5 million in additional funds through sales of securities issued by PIV2 to both existing security holders and new investors, ...