Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
The SEC actually brought fewer cases against investment advisers in FY 2009 than the year before, but the ones it did pursue touched many more ...
Recent months have featured a few of these cases, in which compliance staff at financial services firms have been cited for failing to keep a ...
Because the SEC was "severely bruised" by the Madoff embarrassment, expect aggressive agency actions to avoid a repeat and more knowledgeable and inquisitive examiners.This was ...
IA Watch has obtained testimony that appears to support allegations of insider trading at the RIA Pequot Capital Management (IA Watch, Jan. 12, 2009). The ...
The head of one RIA gambled on Google and lost big - $12 million in just two months, according to the SEC - and the ...
Close to two dozen federal entities – including the SEC– have joined to combat financial fraud, authorities announced Nov. 17. President Obama, acting from China, ...
The SEC claims Ezra Levy, the former CFO at the hedge fund and registered investment advisory firm Boston Provident ($135 billion in AUM) in New ...
Federal authorities filed charges Friday against two computer programmers who worked at Bernard L. Madoff Investment Securities. They claim Jerome O’Hara of Malverne, N.Y., and ...
The SEC has picked a hedge fund veteran to run its exam program out of the New York Regional Office. Norm Champ, who has been ...
You're likely to find Matthew Weitzman of Armonk, N.Y., at home these days. A judge wants it this way. The former CCO at AFW Wealth ...