Examinations Enforcement: SEC Actions

The session had been billed as a talk about the SEC's new whistleblower rule but because the rule hasn't been finalized (IA Watch, Nov. 15, ...

IA Watch has obtained a copy of an SEC document request letter sent as part of a sweep exam by the Enforcement Division looking into ...

If your portfolio managers dabble in thinly traded securities, you may want to be on the lookout for heavy buying near a quarter's end as ...

The SEC has said for some time that it's turning to rigorous data analysis to spot risky entities worth investigating. The data crunching focuses on ...

An administrative law judge last week closed the door on the sordid Pequot Capital Management case when she ordered a former employee to pay $250,000 ...

Charles Hanlon claimed his RIA, Delta Global Advisors in Huntington Beach, Calif., was much larger than it was - and somehow thought the SEC wouldn't ...

New legal action by the SEC shows how difficult it can be to tie up loose ends dangling from sophisticated frauds. The agency has moved ...

The SEC moved last week to prevent a former rep at an RIA from stealing more funds from deferred compensation accounts he managed. The agency ...

SEC Enforcement Division Director Robert Khuzami turned some heads earlier this month when he told Congress the agency looks for "aberrational performance" among hedge funds ...

Jerome Keenan feels like David in a land of Goliaths. The CCO at JSK Associates ($29M in AUM) in White Plains, N.Y., recalls the day ...