Examinations Enforcement: SEC Actions

Securities fraud charges have been filed by the SEC against an investment advisory firm and two of its principals for inflating the value of embattled ...

The court-appointed receiver in the alleged Stanford fraud case seeks to clawback the principal from investors and the SEC is challenging the attempt in court. ...

The SEC's four-year investigation of Robert Allen Stanford's companies was stymied by a lack of cooperation by the firm and a request by the Department ...

The SEC has fined Morgan Stanley $500,000 for Advisers Act violations, and has set a hearing to decide the fate of an investment adviser the ...

Several recent enforcement actions target firm CCOsThree separate cases in the last few days snagged firm CCOs, including one criminal plea that could bring up ...

Reports indicate the SEC's new Director of Enforcement Robert Khuzami has shuffled around the division, including setting up units with special expertise. He may be ...

A federal judge in Houston last week sided with the government and declared accused Ponzi schemer Robert Allen Stanford a risk to flee to avoid ...

You'll be busier than ever responding to an announced SEC exam - one more outgrowth of the agency's reaction to the scandals of the last ...

A free lunch can cost dearly. The SEC alleges several reps ripped off seniors invited to a free meal by pitching them unsuitable variable annuities. ...

Federal judge's order denying bail to Robert Allen Stanford in June 2009.