Examinations Enforcement: SEC Actions

This investment strategy is known as “short options” or “short volatility” trading, and offers the possibility of relatively stable profits from premium income, but carries ...

BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags

It’s been seven years since the SEC filed an enforcement action against The Robare Group claiming a failure to disclose compensation. A rollercoaster of multiple ...

DeCaprio was responsible for reviewing drafts of the Form ADV Part 2A for accuracy and completeness and failed to disclose the sub-advisory relationship, the Mutual ...

President Donald saved one of his final pardons—coming in his last hours in office—for a man who previously served time in prison and was facing ...

Tennison fooled investors, selling securities in a supposed religious and humanitarian project and claiming profits would be used for religious and humanitarian projects

The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...

A former Park Avenue private equity adviser appears to have worked out a plea bargain on charges that he scammed hundreds of investors—including his firm’s ...

GPB Capital, the private equity fund adviser at the center of multiple fraud investigations, says it’s down to its last few million dollars. GPB once ...

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...