Examinations Enforcement: SEC Actions

Berkey's customers incurred significant costs with every transaction and the securities were held briefly; thus, the price of the securities had to rise significantly for ...

Lyons and various investment adviser entities with the name Synchrony that Lyons controlled engaged in a scheme to misappropriate assets from hedge funds Lyons and ...

The count of the indictment to which Winstead pled guilty alleged that on April 1, 2014, Winstead, in his capacity as a Nationwide Insurance agent, ...

Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from the eyes ...

The SEC alleges that Naqvi and his firm raised money for the Abraaj Growth Markets Health Fund ("Health Fund"), collecting more than $100 million over ...

Gonzalo Ortiz, of Hackensack, New Jersey, falsely touted his success in investing in stocks and promised the investor a minimum 50% return in a year, ...

Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to ...

As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pegged at up to ...

In May 2015, the SEC charged Robert P. DePalo with defrauding over twenty investors by misrepresenting the value of their investments and use of their ...

Mizrahi falsely claimed that MBIG used sophisticated trading strategies to generate "guaranteed" returns of between 2-3% per month, the investments were risk-free, and clients would ...