Examinations Enforcement: SEC Actions

BlueCrest Capital Management has agreed to pay $170 million in fines and disgorgement to settle SEC claims that the UK-based private fund adviser provided inadequate ...

The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products

Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.

CSM to pay $260K for breaching fiduciary duty, not adequately disclosing conflicts, and failing to seek best execution

RCW shares an example of an SEC enforcement subpoena

The Commission brought 715 enforcement actions and returned more than $600 million to harmed investors

The Commission brought 405 "standalone" cases in fiscal year 2020

Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds

Rashid claimed as legitimate business expenses a New Year’s trip to Brazil, a friend’s bachelor party and wedding, a flight to the Super Bowl, and ...

The settlement closes one chapter, but the saga continues.