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Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the ...
The 68 enforcement cases the CFTC announced in FY 2016 comes in a shade behind the 69 achieved the previous year, but the agency’s $1.29 ...
It never hurts to hear from your regulator where your peers have fallen short. SEC Enforcement Director Andrew Ceresney pointed to “certain problematic conduct ...
Yet another former ConvergEx subsidiary CEO has been charged by the SEC for participating in a scheme to conceal a practice of charging hidden mark-ups ...
The Investment Advisers Act of 1940Section 209 -- Enforcement of Title Investigation. Whenever it shall appear to the Commission, either upon complaint or otherwise, that ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...
The government alleges Robare & Jones Asset Managers ($150M in AUM) in Houston earned $441,000 in hidden fees over eight years without disclosing or adequately ...
OCIE's 2014 exam priorities list explicitly states that undisclosed compensation arrangements would be a focus area. A lack of compensation disclosure and a failure to ...
Several broker-dealer reps wished to open up an advisory firm only to be turned down by their boss. They started the firm anyway and had ...