Enforcement

Perhaps it's an American export. Recently the Financial Services Authority fined a compliance chief for oversight that was "wholly inadequate." The action follows a trend ...

Cash for insider information allegedly used to make millions in illicit profits were disguised as soft dollar payments, according to the latest prosecution that targets ...

One in five SEC enforcement actions filed in the agency's 2011 fiscal year involved either an investment adviser or investment company - and the 146 ...

Investors were told their funds would be placed in safe vehicles, like Burger King restaurant franchises and real estate. The SEC claims the president/CCO of ...

Last week's $119 million settlement between the SEC and Charles Schwab Investment Management ($204B in AUM) in San Francisco supplies a virtual scorecard for needed ...

The SEC claims attorney Jonathan Bristol not only represented his client, accused swindler Kenneth Starr and his RIA Starr Investment Advisors ($1.2B in AUM) in ...

We've chronicled the woes of Diane Keefe, the former PM at Pax World Management Corp. ($254M in AUM) in Portsmouth, N.H. before (IA Watch, April ...

Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...

Eight days after the Commission approved an Enforcement case against RIA Morgan Keegan & Company ($3.4B in AUM) this spring (IA Watch, April 12, 2010), ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...