Examinations Enforcement: SEC Actions

The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio ...

SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager.

SEC Charges Former Portfolio Manager At S.A.C. Capital with Insider Trading.

Permit us to share with you six SEC document request letters received recently by IA Watch. They serve to demonstrate common themes across exams but ...

That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency can ...

A hedge fund adviser settles an SEC charge of insider trading.

On the basis of this Order and Respondents’ Offers, the Commission finds that: 1. Between January 1, 2007 and September 3, 2009, the relevant time period ...

It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...

Tomorrow Tim Roth finds a new home - at least for the next 12 years. The former adviser at Comprehensive Capital Management ($501M in AUM) ...