Examinations Enforcement: SEC Actions

When SEC examiners descended upon the Stanford Group Company in January, they kept alluding to their 2006 visit, which drew blank stares from the compliance ...

A copy of the SEC's document request letter from its January 2009 exam.

In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...

For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...

The SEC alleges a Wisconsin advisory firm and two of its principals took millions in undisclosed kickbacks, breached their fiduciary duties, misrepresented the quality of ...

A copy of an SEC document request letter from May 2009.

Phone records are behind the SEC's first case involving allegations of insider trading of credit default swaps by a hedge fund. The agency has charged ...

At least four separate communications to the SEC raised concerns about Bernard Madoff as early as 2003, according to internal agency documents obtained by IA ...

The OCIE examiners showed up in January requesting documents from the registered advisory firm Acorn Capital Management of Kennett Square, Pa. The firm's owner and ...

More than 60 brokers who worked for the Stanford Group Company– which included RIA Stanford Capital Management– are being sued by the receiver in the ...