Examinations Enforcement: SEC Actions

Principal, who also serves as CCO, required to take a minimum of 8 hours of compliance training over next 3 years

"The aura of success portrayed by the GPB and Ascendant Defendants was an illusion. In reality, GPB Capital used investor funds to cover the shortfall ...

Amogh Karney made untrue statements to an investor in connection with the offer and sale of $75,000 of securities in an investment fund that Karney ...

From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client

Global financial services giant will pay more than $120M to satisfy FCPA charges

“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...

Scheme involved investments in purported consumer debt portfolios

Enforcement action tied to BlueCrest's transfer of top traders from its flagship hedge fund to a proprietary hedge fund

Single broker quote pricing quality controls were not effectively or consistently implemented

A New York dual registrant will pay $8 million to settle SEC claims that the firm lacked the proper policies & procedures to ensure they ...