Examinations Enforcement: SEC Actions

One adviser hid a fraud by impersonating the fund's supposed auditor. The other adopted the identity of a baby who had died more than 30 ...

Take this as more proof that your firm's Form ADV lives as the core document in the SEC's eyes. An RIA has settled with the ...

They're back - if they've ever gone away. IA Watch has told you about limited scope exams by the SEC (IA Watch, Feb. 9, 2009). ...

As advisory firms with custody scramble to find accountants willing to begin a surprise exam by year's end, the SEC has slapped a CPA and ...

A CCO could feel as if he's pulled in a thousand directions after SEC examiners take up position in the firm. Of course, you can't ...

Jermaine Spence must have thought he was born to be an investment adviser. The website for his RIA, FreedomTree Asset Management in Atlanta, boosted of ...

Like many stockbrokers seeking to flee a wirehouse for the bold life of running their own RIA, Ben Grant wished his 300 customers and their ...

Five months after the SEC's inspector general revealed the agency suspected for years that Robert Allen Stanford was operating a Ponzi scheme but failed to ...

Your heartbeat may have picked up a bit when the Wall Street Journal Sept. 10 reported on a sweep exam by OCIE that probes hedge ...

The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...