Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
The SEC claims this case is about lying, forgery, and other deceptive conduct by Alan Seidel and Benjamin Mekawy
I cannot ignore the thousands Rossi spent gambling.
Springer concealed from prospective clients his prior disciplinary history with the SEC
Leissner received more than $43M in illicit payments for his role
Failure to adopt P&Ps connected to client objectives, restrictions
Randall wrote the agency to admit that he “‘wasn’t even aware of this [Advisers] Act or its potential applicability’ to himself
Burroughs "misappropriated his clients’ money, and provided his clients with fake documents to cover up what he had done"
Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...
Fake documentation was used to deceive clients