Enforcement

The investors reside in Taiwan. The accused sits in England. The prosecutor labors from Boston.For two years, Glenn Manterfield of the U.K., has been dodging ...

Details have finally emerged on the changes Director Robert Khuzami has made to the Enforcement Division he heads. These include the establishment of five specialized ...

Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...

The SEC has fined Morgan Stanley $500,000 for Advisers Act violations, and has set a hearing to decide the fate of an investment adviser the ...

A free lunch can cost dearly. The SEC alleges several reps ripped off seniors invited to a free meal by pitching them unsuitable variable annuities. ...

Four people who allegedly made millions of dollars funneling investors' cash to Bernie Madoff were charged last week with securities fraud by the SEC. The ...

IA Week has obtained a copy of the letter the Enforcement Division of the SEC's New York Regional Office has been sending to advisers as ...

It looks as though among the legislative changes the SEC will ask of Congress will be expanded authority under the Advisers Act to "seek penalties ...

A widening probe of fraud tied to New York's largest pension fund has snagged Saul Meyer, who founded one RIA and has ties to another. ...

When Isaac Ovid started his investment business, including RIA Jadis Investments, the ordained minister turned to his church, where his father, the pastor, offered a ...