Examinations Enforcement: SEC Actions

By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...

Funds face 'stress-test'

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more

Unproven theory may make firms hostage to P&Ps, side deals

Firm 'continues to lack' compliance infrastructure, regulators claim

Study caught regulators' attention year before historic case filed

The Compliance Officer recommended to Horter that the rep be fired for effectively failing Horter Investment’s due diligence process. Horter rejected the Compliance Officer’s advice

Safeguards Rule P&Ps, implementation trip up eight firms

Because of the length of time Woods has been running the Ponzi scheme, the Commission has not yet fully determined the scope of the fraud. ...