Examinations Enforcement: SEC Actions

With echoes of Bernie Madoff, the SEC had advanced warning that the companies run by international financier Robert Allen Stanford amounted to a huge Ponzi ...

A portion of the SEC's Freedom of Information Act response to IA Week in the Stanford case. Obtained in June 2009.

IA Week has obtained a copy of the letter the Enforcement Division of the SEC's New York Regional Office has been sending to advisers as ...

Four months after the FBI raided the Houston offices of his international empire, federal prosecutors have charged Robert Allen Stanford and others with mail and ...

The SEC's second amended complaint against Stanford, released June 19, 2009, the day Robert Allen Stanford received criminal charges.

The SEC's second amended complaint against Stanford, released June 19, 2009, the day Robert Allen Stanford received criminal charges.

A copy of the sworn statement letter sent by NYRO enforcement division in spring and summer 2009.

The SEC has requested additional information from more than two dozen pension fund managers and others in its on-going investigation into so-called pay-to-play pension schemes(IA ...

A former CCO who co-founded an investment advisory firm 16 years ago has settled a civil case with the SEC but awaits criminal charges in ...

By now you've heard about the Evergreen Investment Management case and the SEC's settlement with the Boston-based firm for more than $40 million. But perhaps ...