Examinations Enforcement: SEC Actions

In one case, the adviser put out purported performance results without telling clients some of the numbers were hypothetical. In a second, two advisers gambled ...

In retrospect, the signs of trouble lay like carcasses along the roadside. The second-largest shareholder and board member sues the advisory firm. The RIA settles ...

Since we first shared with you an SECdocument request letter from a new "presence exam" (IA Watch, Dec. 10, 2012), IA Watch has obtained two ...

Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...

What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with ...

This hedge fund manager was charged with cherry-picking. The SEC noted the firm lacks relevant compliance P&Ps or a code of ethics that would have ...

The SEC charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 ...

The SEC charges hedge fund manager with two widespread fraudulent trading schemes spanning nearly four years.

IA Watch has obtained a copy of an SEC document request letter received by an adviser after the agency formally announced its new "presence exam" ...

This is the SEC's case targeting Morgan Keegan independent directors for their lack of oversight of the firm's valuation processes.