Enforcement

Accused Ponzi artist Robert Allen Stanford has formally denied the allegations of fraud the SEC has made against him and others in his Stanford companies ...

For seven years Sean Mansfield labored at Financial Counselors, an advisory firm in West Springfield, Mass., where he also served as CCO. Last month authorities ...

Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...

Citing the recent surge in the number of registered investment advisers, SEC Commissioner Elisse Walter testified this month before the House Financial Services Committee asking ...

An RIA tempted the University of Pittsburgh to fork over $21 million last month even as its investment house of cards was folding.An unregistered hedge ...

The new director of the SEC's Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the last ...

With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...

The advisory profession sustained another black eye with the mysterious disappearance this month of a 76-year-old Florida hedge fund manager who has apparently vanished with ...