Examinations Enforcement: SEC Actions

Some days the investor was a Swiss money manager. Other days a private bank in Switzerland. In the end, the deep-pocketed investor was simply a ...

Reports from across the country describe a pattern of almost frenetic activity by SEC examiners visiting investment advisory firms in recent weeks. The top issues ...

If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...

A U.S. Court of Appeals has sided with the SEC in a case of accounting fraud for when the clock starts ticking toward the end ...

A federal judge in Texas March 5 ordered a trustee overseeing assets held by companies owned by Robert Allen Stanford to unfreeze about 12,000 investor ...

If you get a call from someone purporting to be an SEC examiner asking for documents for an “emergency” exam, ask for the caller’s name, ...

The SEC has amended its legal complaint against Robert Allen Stanford, his investment advisory firm and related others to declare that for “at least a ...

An RIA tempted the University of Pittsburgh to fork over $21 million last month even as its investment house of cards was folding.An unregistered hedge ...

The SEC has charged a world-renowned financier with securities fraud in a billion-dollar scheme that stretches around the globe. Sound familiar?This time the alleged culprit ...

One month into the reign of the SEC's new Chairman Mary Schapiro and it looks like the horses are out of the gates. IA Week ...