Examinations Enforcement: SEC Actions

Charges filed last week by the SEC against a Georgia RIA claim faulty disclosures in the firm's Form ADV misled investors. The attorney for the ...

When SEC examiners showed up earlier this year at Select AssetManagement ($52M in AUM) in Houston, they had no reason to believe that its CEO/CCO ...

IA Watch has obtained four new exam document request letters, one directed at an adviser to a private fund, a second sent to an RIA ...

The accountant investigated various transfers of cash scattered among the trade blotter that didn't seem to smell right

Nearly six months after IA Watch reported Morgan Keegan had reserved $200 million to resolve fraud charges (IA Watch, Jan. 3, 2011), the company last ...

With shades of the Goldman Sachs-Abacus CDO case, the SEC last week settled with J.P. Morgan for misleading investors - some of them investment advisory ...

Another CCO has settled with the SEC over an Advisers Act violation, this time for not disclosing to investors that the RIA pocketed cash from ...

It's tough to find a mistake Wunderlich Securities ($469M in AUM) in Memphis and its CCO Tracy Wiswall didn't make, according to a new SECenforcement ...

SEC Chairman Mary Schapiro has until June 7 to respond to a letter sent last week by Sen. Charles Grassley (R-Iowa) looking into how the ...

It's not every day that an RIA has its registration revoked but that's what happened this month to FreedomTree Asset Management. The SEC went after ...