Enforcement

If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s ...

Wilson registered Black Diamond with the Commission as an investment adviser. In the initial Form ADV registration statement Wilson signed on Black Diamond’s behalf—as its ...

Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in ...

A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for failing ...

This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...

One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO.   In a new settlement, ...

Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...

Toole incorporated his companies in Texas and Georgia, all of which operated as separate, consecutive commodity pools and which primarily traded Chicago Mercantile Exchange Euro ...

Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...

Even though Daniel Winston LaMarco calls a prison cell home, he’ll have to deal with the CFTC charging him with running a Ponzi scheme and ...