Examinations Enforcement: SEC Actions

Submissions contained missing or inaccurate data for nearly five years

Grenville Gooder failed to remain informed about compliance requirements and designated figurehead CCOs who would not undertake any actual compliance responsibilities

Lapse in forming an Investor Advisory Committee an issue

The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016

SEC remains 'fully operational'

SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...

Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...

Hafen defrauded his clients, convincing them he could put them in investments that would produce 6% annual returns but instead used their money for his ...

The SEC alleges Motty Mizrahi told investors his trading strategy was risk-free, clients would not lose money and they could withdraw their money at any ...

The client “hit rock bottom” after being told of Boggs’ alleged fraud