Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” sparks ...
According to the indictment filed in Stark County, Ohio, Hannan defrauded nine individuals in a series of transactions between 2014 and 2017. Hannan was sentenced ...
SEC Obtains Judgment Against Broker Litigation Release No. 24528 / July 8, 2019 Securities and Exchange Commission v. Jovannie Aquino, No. 1:18-cv-08191 (S.D.N.Y. filed September ...
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An ...
Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper transfers ...
SEC Charges Two Individuals for Fraud and Issuer for Unregistered Sale of Securities Litigation Release No. 24526 / July 1, 2019 U. S. Securities and ...
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning that can occur ...
SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and ...
SEC Obtains Final Judgment Against Virginia Investment Adviser Charged with Fraud Litigation Release No. 24517 / June 27, 2019 Securities and Exchange Commission v. Amrit ...
LaGuardia, Jr., a resident of Lavallette, New Jersey, who controlled the investment adviser, L-R Managers, LLC, misappropriated investor money from private funds advised by L-R ...