Examinations Enforcement: SEC Actions

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...

A federal grand jury has indicted a portfolio manager whom prosecutors say reaped millions in a years-long insider trading scheme that included leaking details of ...

A former SEC examiner will spend the next nine months under house arrest for sneaking into the Commission’s secret databases to sweeten his job prospects ...

“The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies”

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

Sports agents, university coaches utilized in cash solicitations scheme

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

This will empower senior officers to exercise the delegated authority of the Commission to authorize staff to subpoena documents and take sworn testimony