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Examinations Enforcement: SEC Actions
Boggs made more than 200 illegal transfers from three investment advisory clients’ accounts to pay for his credit card purchases
The SEC has settled 15 ADR pre-release cases
Jay Costa Kelter was sentenced to a prison term of 29 months
Barton Stuck is currently free on bond and is awaiting sentencing
Settlements with the SEC and CFTC aggregated more than $20 million
Matthes stole $2.4 million from 26 of his customers and clients
The dual registrant will pay a $1.5 million penalty
OCIE considers "dozens" of potential risk factors when identifying exam targets
OCIE's 2020 exam priorities include "perennial risk areas" along with some new additions
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements