Examinations Enforcement: SEC Actions

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

CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...

The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...

Case offers early lessons in delegation, cooperation

Robos must ensure their marketing materials don't mislead and that conflicts are disclosed to investors

The number of such Commission enforcement actions has now been pushed to 42, self-reporting suggested

Ahead of proposed audit rule, staff has gone deep on audit trail

'You’ve got to make sure that employees understand what the rules are,' expert warns

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses

The defendants improperly registered Bóveda with the Commission as an Internet IA