Examinations Enforcement: SEC Actions

Some firms that are considered the highest frequency traders have received subpoenas for data designed to help regulators understand the cause of the May 6 ...

Alleged violations of its fiduciary duty to investors resides at the heart of the SEC's civil case against RIA ICP Asset Management ($11.4B in AUM) ...

As the SECdescribes it, a former fund chairman and the head of a now-deregistered RIA, Moore Clayton Capital Advisors, cut a secret deal to persuade ...

It's not often the Big Apple takes from the Second City. Last week the SEC's regional office in New York ripped a page from its ...

The alleged Ponzi scheme features an RIA that may have ripped off Hollywood notables, a central figure who authorities claim used clients funds to buy ...

It may stick out in an examiner's mind if your firm spends gobs of cash for the spiffiest technology for business purposes but relegates compliance ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...

A copy of the 2001 e-mail at the center of the alleged Pequot insider trading case.

Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...

Here they come again - more failure to supervise cases, including one against a CCO for neglecting to take appropriate action to investigate red flags ...