Examinations Enforcement: SEC Actions

The SEC's complaint claims the CCO "engaged in subterfuge to conceal her misconduct," including allegedly hacking into her colleagues’ computers

Case is the first ever enforcement action under Investment Company Act section 11

In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program

The SEC alleges that the defendants raised $410 million via the scheme from more than 2,200 investor

“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...

Perini Capital and CEO Michael Perini charged with directing principal trades without first providing disclosure and obtaining client consent

High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims

Rep allegedly defrauded novice investors out of at least $4.8 million, resulting in more than $2 million of investor losses

Good raised at least $4.8 million in this scheme, including through at least 30 fraudulent investments since 2017. Good did not however use the clients’ ...

Rivero convinced at least five of his clients and customers at Financial Institution A – some of whom over eighty years old and/or disabled – ...