Examinations Enforcement: SEC Actions

Frank Dappah attempted to make the leap from the insurance industry to investment adviser but missed a few key concepts along the way. The SEC ...

Only six months after the nation's highest court stung the Commission in a ruling slapping it with a five-year limitation to bring cases, the SEC ...

This case featured a father trying to hide the sins of his son. It also features books and records violations, among others.

Say your firm must complete Form PF but the task has been delegated to others in your shop. Perhaps you should at least know what ...

SEC Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme

This enforcement case targets an adviser that fell completely off the rails when it comes to compliance. For example, the firm "never had adequate written ...

This adviser and others were charged with engaging in two distinct schemes: fraudulent trade allocation by “cherry-picking” favorable trades and misusing “soft dollars” commissions.

This is a case many compliance officers point to because the SEC accused Carl Johns of lying to the adviser's CCO. Johns ignored the firm's ...

This Oppenheimer employee was charged with a host of securities violations related to the valuation of the Oppenheimer Global Resource Private Equity Fund, along with ...

SEC Halts Fraud by Ohio-Based Hedge Fund Manager