Examinations Enforcement: SEC Actions

Apostelos pleaded guilty to one count of theft or embezzlement from an employee pension plan and one count of conspiracy to commit mail and wire ...

Strochak solicited investors in-person and through telephone and email communications, advised investors on the merits of the investments, and sold them Castleberry securities in private-placement ...

SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exchange Commission v. Strategic Capital ...

A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...

Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was ...

Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer published quotes and made ...

SEC Charges Investment Adviser with Fraud Litigation Release No. 24586 / September 5, 2019 Securities and Exchange Commission v. E. Herbert Hafen, Civil Action No. ...

It was alleged that between 2013 and 2016 while she was associated with the brokerage firm McKinley stole nearly $300,000 from the accounts of the ...

It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund ...

Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined qualifications requirements or ...