Enforcement

ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Russia Fund ...

RED List works in conjunction with the CFTC’s SmartCheckSM campaign to help investors identify and protect themselves against illegal conduct. The RED List also ...

It took a jury five days in 2014 to decide that Charles Kokesh committed securities fraud by stealing tens of millions of dollars at two ...

Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied ...

Meadlin disseminated dozens of emails to prospective investors and clients in which he inflated Hyaline's assets under management (AUM), claiming that Hyaline managed between $17 ...

Sandy Katz is considered an “all-star” rep. So when a manager questioned why he wasn’t putting clients into cheaper mutual fund share classes, he “escalated” ...

Using your Form ADV brochure to alert wrap fee program clients that they may face higher trading costs if their adviser uses a broker other ...

Despite several revisions of the SEC’s interpretation of the custody rule, the agency hasn’t budged on one tenet: having the ability to access a customer’s ...

Historically, Stifel did not track or monitor which sub-advisers were trading away from Stifel, how often those sub-advisers were trading away, or the specific costs ...

The adviser followed the rules and disclosed a conflict and compensation on Form ADV that it received from a clearing broker. However, the adviser failed ...