Examinations Enforcement: SEC Actions

Hopkins began approaching his brokerage customers about a new investment opportunity at the local credit union involving the opening of a new branch office. This ...

SEC characterizes actions as a $60M 'Ponzi-like scheme'

UBS circumvented the priority given to retail investors in certain muni bond offerings

Beginning in or about 2007,1 Hu and others at IIG engaged in a practice of hiding losses in the TOF portfolio by overvaluing troubled loans ...

Issue tied to breaches of limitations on an IC's ownership interests in another

The B-D violated the provision prohibiting lending shares to settle sale orders marked "long"

To all outward appearances, Richard Diver stood as a pillar of rectitude. The co-founder of Manhattan-based M&R Capital Management ($487M in AUM), Diver, 63, ran ...

The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...

A lesson for advisers is that you have a fiduciary duty to your clients and this means spotting red flags and conducting due diligence on ...

This case was tied to the F-Squared enforcement action