Examinations Enforcement: SEC Actions

SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Repatriation Order and Findings of Fact and Conclusions of Law, Against Father and Son Behind Pump ...

SEC Charges Day-Trader with Manipulating Stock Prices in Order to Obtain NASDAQ Listing for Company

SEC Chair Mary Jo White is now prepared to discuss “in depth” her thinking with the full Commission on a uniform fiduciary standard for investment ...

Many eyes are watching to see how the SEC vs. The Robare Group ($150M in AUM) case plays out. Allegations of inadequate disclosures around conflicts ...

The clamor over whether the SEC routinely grants waivers from regulatory disqualifications without rigorous analysis has only grown of late and has even come from ...

Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...

It’s an often stated maxim delivered at industry conferences: you don’t want your firm’s compliance issues to appear on page one of the Wall Street ...

SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading

PageOne, a registered investment adviser, and E. Page, its sole owner and principal, hid serious conflicts of interest from their advisory clients in connection with recommending ...

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case