Examinations Enforcement: SEC Actions

J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved

The SEC charged Wedbush with the unlawful distribution of nearly 100 million shares of more than 50 low-priced microcap companies

Swindler took in firm's COO, feds claim

Regulatory 'firsts' land uncomfortably close to private funds

SEC found that MIO Partners was investing hundreds of millions o dollars in companies that McKinsey was advising

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

P&Ps untried, untested, Commission warns in new risk alert

He would give a client 'a completed check authorization form, but misrepresented how the authorization would be used.' Other times he 'altered the payee line ...

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...

Buttonwood and McGraw therefore had a financial conflict of interest with their clients—they had an incentive to select investments for clients that would allow Buttonwood ...