Examinations Enforcement: SEC Actions

Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.

We shared with you last week Evens Barthelemy's story (IA Watch, Nov. 26, 2012). The SECsettled a case against the president/CCO of the Barthelemy Group ...

OCIE only examined 8% of RIAs between October 2011 and September 2012, coming up short of its goal of 9%, according to a new report. ...

The difference was only one case, but SEC enforcement actions between Oct. 2011 and Sept. 2012 totaled 147 - a single digit ahead of the ...

In response to charges it inflated investments to capture millions in undeserved fees, Yorkville Advisors ($304M in AUM) in Jersey City, N.J., states that two ...

We told you it was coming and last week OCIE released a letter to new registrants aimed at reminding them of their compliance obligations and ...

Some guys can't take a hint. Regulators would like Norman Goldstein and his advisory firm GEI Financial Services to just go away but, like a ...

This is a letter from the New York Regional Office of the SEC in October 2012. This went to newly registered advisers and mentioned the ...

This is a copy of a letter from OCIE released in October 2012 that went to newly registered advisers. It includes a description of the ...

If you're a newly-registered adviser, look for a letter from the SEC "in the next couple of weeks" that would signal you're the subject of ...