Examinations Enforcement: SEC Actions

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 ...

It's a situation almost any adviser could find itself in these days when valuations fluctuate or defy easy assessment. Earlier this month the SEC dropped ...

IA Watch has obtained a new SEC document request letter being used in a current sweep exam of advisory firms. The seven-page letter focuses "on ...

It's perhaps a firm's greatest examination fear: a surprise visit. Unannounced exams are rare. The newest SECdocument request letter you'll find at iawatch.com comes from ...

A copy of the letter Gary Aguirre sent to the SEC in January 2009, which he believes sparked a re-opening of the SEC's investigation into ...

James Dawson washed out of professional basketball and now the former investment adviser has been barred from the advisory industry for three years for cherry ...

It looks like Mark Lay will spend the next decade behind bars. The former head of the now-defunct RIA MDL Capital Management Inc. in Pittsburgh ...

The newest SECdocument request letter that we share with you at www.iawatch.com hails from OCIE headquarters in Washington. It illustrates the interest examiners are taking ...

One CCO didn't do enough to preserve firm records, including instant messages. The other pilfered from clients, helping to scuttle his wife's firm.Earlier this month, ...

Thirteen days after SEC examiners arrived last month at his RIA to conduct a for-cause exam inspired by a tip, CEO/CCO Ken McLeod shot himself, ...