Examinations Enforcement: SEC Actions

You face options in how to respond to the SEC's new exam maneuver of reaching out to advisory firm clients to ask them about their ...

Congress may be struggling over investment adviser-broker dealer harmonization but compliance officers from both entities came together at the first combined SEC CCOutreach meeting last ...

Last June, as the mortgage-backed securities market tanked, an official at the RIA Evergreen Investment Management Company got wind that a fund packed with the ...

Days before Laura Pendergest-Holt, CIO of the Stanford Financial Group, was to testify to the SEC, she met with Robert Allen Stanford and CFO James ...

This script may need a rewrite. Last week the SEC filed fraud charges against Steve Salutric, who runs RIA Results One in Elmhurst, Ill. It ...

A former CCO at a Chicago RIA must pay penalties of more than $150,000 and is barred from the industry for helping her former boss ...

Some of you may have received a special Christmas gift from the SEC's Chicago Regional Office: A two-page letter that asks for numerous documents designed ...

If your firm sold investors on the investment management program ESI Illuminations Select, you'll take interest in the legal settlement last week between the SEC ...

Although the SEC's not talking, various sources confirm that the Office of Compliance Inspections and Examinations has been sending this fall a sweep exam letter ...

The latest SEC enforcement action targeting insider trading reads like a mix of espionage and office politics, with its claim that the suspects "exchanged illegal ...