Enforcement

Some will even deceive the dying to make a buck. The SEC alleges Los Angeles-based broker Michael Horowitz sought out patients on their death beds ...

It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...

Recent months have featured some tough talk out of the SEC. This year will display if enforcement will be able to back it up.SEC Chair ...

Recent enforcement actions show again how firms can run into trouble with e-mails and other electronic communications. Take the case of Frank Lorenzo, whose quarter-century ...

Add a new case to the list of CCOs finding trouble because of failing to comply with the SEC's custody rule (IA Watch, Nov. 4, ...

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...

While it's a confirmed best practice for compliance to review all firm advertising, the act doesn't guarantee a firm or an individual will escape liability ...

At first, Toby Scammell mounted a vigorous defense of charges that he used insider information to earn a 3,000% profit. The 28-year-old California man initially ...

Even before the financial crisis took down the subprime market, the CDO managed by Harding Advisory ($1.1 billion in AUM) in Morristown, N.J. failed, costing ...

The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasing fund shares ...