Enforcement

News from a law firm that you can win in challenging an enforcement action rings like a horse track announcing you could take home the ...

According to the SEC, an Illinois adviser used investor funds to supply himself with a long list of accoutrements, from luxury cars to investments in ...

Last week, two principals of an adviser were sued in federal court in New York for allegedly lying to prospective investors and revising an auditor's ...

Douglas Cowgill had a long time to become familiar with the SEC's rules. He's the president and CCO of his own advisory firm, Professional Investment ...

Allegations of not disclosing hidden fees beat at the heart of the SEC's action against Ernest Montford, but the case's challenge of Congress's 180-day deadline ...

A pair of portfolio managers who never had disciplinary histories face fines and industry bars after an SEC ALJ last week found they violated securities ...

A federal judge last week ended the government's criminal case against S.A.C. Capital Advisors ($41B in AUM) in Stamford, Conn., by approving a plea deal ...

Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered ...

More than a decade after the effective date of the compliance program rule should be enough time for an adviser to know how to run ...

Ernest Montford, 67, spends his days reading from his home in Savannah, Ga., and waiting - for SEC commissioners to decide his fate. His investment ...