Enforcement

Frank Dappah attempted to make the leap from the insurance industry to investment adviser but missed a few key concepts along the way. The SEC ...

The one-two punch from the SEC last week came in the form of a new risk alert from OCIE on complying with Rule 105 and ...

Enforcement cases born from the financial crisis continue to wrap up. Last week the SEC hit hard Shadron Stastney for personally benefiting from the sale ...

The latest case of the SEC targeting an advisory firm CCO for malfeasance centers not on the firm's lack of fiduciary duty to all of ...

This is a story you may want to print and tape to your firm's refrigerator. The SEC has fined a former portfolio manager $350,000 and ...

Depending on how you read this month's SECALJ decision against the former CCO at the now-defunct Houston-based RIA Stanford Group Company, a disturbing precedent has ...

You can almost hear echoes of the Morgan Keegan case amid the allegations against two London-based former traders at J.P. Morgan. The pair face possible ...

The argument that a CEO shouldn't also be a firm's CCO got a lot stronger as the SEC has mandated that a specific adviser must ...

You won't find Steven A. Cohen'snamed in the Justice Department's 41-page sealed indictment against S.A.C. Capital Advisors but you will read a scathing review of ...

SEC commissioners have rejected the proposed enforcement settlement with Philip Falcone and his firm Harbinger Capital Partners ($3.1B in AUM) in New York (IA Watch, ...