Examinations Enforcement: SEC Actions

Sometimes silence isn't golden. Keith Daubenspeck listened as his co-founder of Advanced Equities ($867M in AUM) in Chicago, Dwight Badger, told lies during two sales ...

Seven months after the conviction of Robert Allen Stanford for running a Ponzi scheme (IA Watch, March 12, 2012), the SEC has filed charges against ...

The SEC has charged an RIA and its CCO with cherry-picking trades that benefited him at the expense of his clients. The alleged scheme may ...

The case of David Dube shows just how hard it can be to shake a shady character out of the industry and speaks to the ...

This is an example of a deferred prosecution agreement entered into with the SEC.

The latest crop of SEC document request letters reveals a focus on private funds, a better tailoring of requests to a firm's business as well ...

A federal judge last week "reluctantly" signed off on the SEC's civil settlement against hedge fund managers Ralph Cioffi and Matthew Tannin. Some believe the ...

Failure to implement compliance policies and procedures and to adequately support the CCO role cost two RIAs dearly: their businesses. In one case, the curtain ...

Here's another reason to debrief staff when they return from an industry conference. A few years ago, Reema Shah ran into Robert Kwok "in a ...

That phrase about something being "too good to be true" predates the Internet but applies equally online. Simply call up the case of Matthew Gagnon, ...