Examinations Enforcement: SEC Actions

The SEC has filed a cherry-picking suit against a New Jersey investment adviser and its president—less than a decade after the firm’s parent company was ...

The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...

A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...

Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...

Dang advised the couple to transfer their retirement money to an online brokerage firm and to provide him with their log-in credentials so that he ...

Rodemer’s deceptive conduct continued even after he became aware that his misconduct was being investigated

Kamensky charged with manipulating bidding process at expense of Neiman Marcus unsecured creditors

Neiman has sued Marble Ridge for millions of dollars in alleged damages

Recordings caught Kamensky saying "Because they’re going to say that I abused my position as a fiduciary, which I probably did, right? Maybe I should ...

Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds