Examinations Enforcement: SEC Actions

A 6-year-old case that featured allegations that the SEC missed a fraud similar to Bernie Madoff’s ended last week with a long prison term for ...

The number and dollar amount of whistleblower awards in fiscal year 2014 made the year an “historic” one for the SEC’s Office of the Whistleblower. ...

“Idea dinners” frequented by equity research analysts, institutional clients and sales and trading personnel have landed Citigroup Global Markets in hot water. FINRA has fined ...

SEC Enforcement Director Andrew Ceresney in 2014 talks about a record year in cases, including an action against a private equity firm related to its ...

The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for ...

OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...

The rule appears easy enough to understand. If you sell high-yield municipal bonds to retail investors, you must sell them in lots of $100,000 or ...

You’ve no doubt struggled with the SEC’s complex custody rule but nothing like Sands Brothers Asset Management ($64M in AUM) in New York. Its troubles ...

This adviser was charged by the SEC for failing to timely distribute audited financial statements to the investors of the pooled investment vehicles managed by ...

The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...