Examinations Enforcement: SEC Actions

IA hid fees, discipline from investors, SEC claims

This arrangement created an incentive for ISCA to leave client cash in one of these three cash options over other investments

Rosedale participated in a widespread bribery scheme that targeted as prospective clients NCAA Division I college athletes

"If firms don’t file it, it’ll certainly stick out," Commission had warned

Twenty-one IAs, six B-Ds settle SEC charges they blew off Form CRS deadlines

Canton Hathaway failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...

Lieutenants ran boiler room that bilked retail investors, feds claim

The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products

Firms, execs misled on tech, hid founder's national security "threat," Commission claims

Share class selection, fee markup practices, and best execution all cited in enforcement action