Examinations Enforcement: SEC Actions

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 ...

A portfolio manager has been barred by the SEC from the industry for one year in a case that illustrates how far awry events can ...

Even though the Bernard L. Madoff Investment Securities firm was primarily a broker-dealer operation, the SEC's embarrassment over the scandal has led to a "backlash" ...

Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...

You can download a couple of new SEC document request letters. One is a 17-page document that originated in the SEC's San Francisco regional office. ...

The allegations state Brian Travis and Nick Vulpis lived well on the $312,000 in bribes they received from brokers anxious to run their trades. The ...

Many of your compliance peers have expressed outrage at the SEC's newest exam tactic - reaching out to advisory clients as a means to confirm ...

Custody may top the list of topics currently drawing examiner interest but it doesn't represent the lone change to exams."We're much less predictable than we ...

You'd go a long way toward satisfying the SEC during an exam if you concentrated on (1) disclosures (2) custody (3) the accuracy of your ...

A copy of a 2009 document request letter that originated in the Chicago regional office of the SEC.