Examinations Enforcement: SEC Actions

The SEC's complaint accuses Brown and LB Stocks and Trades Advice LLC of using false pretenses to solicit funds from investors, many of whom are ...

The SEC has brought its first-ever case charging a firm and its CCO for failing to report a “material compliance matter” to a fund board. ...

SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Against Purported Hedge Fund Manager, Moazzam "Mark" Malik

There is room for improvement for brokerage firms conducting business with senior investors say the SEC and FINRA. The regulators would like to see broker-dealers ...

It’s well established that seeking best execution doesn’t rest on price alone (IA Watch, Nov. 1, 2010). A new decision by an SEC ALJ bars ...

The newest chapter in the Sands Brothers saga (IA Watch, March 5, 2015) is the disqualification of the firm’s attorney because of a conflict in ...

Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...

For small advisers constrained by tight budgets one alternative is contracting for an outsourced CCO. While such an arrangement can ultimately lead to a successful ...

Two years ago we warned against the use of confidentiality agreements that prevent whistleblowers from going to the SEC (IA Watch, May 13, 2013). Last ...

IA Watch has spotted a solicitation by the SEC’s Enforcement Division seeking potential expert witnesses to appear in court cases it brings. Applicants are asked ...