Examinations Enforcement: Settlement

Barclays made materially misleading statements and omitted to state certain material facts necessary to make statements made not misleading concerning a) the operation of an ...

A federal judge Jan. 26 ordered the SEC to return a $21.5 million settlement to the now shuttered hedge fund adviser Level Global Investors after ...

This matter concerns violations of the antifraud provisions of the federal securities laws by Kuperman and QED Management while acting as investment advisers to a ...

Respondent has submitted an Amended Offer of Settlement (the “Offer”) proposing to relieve Respondent of its obligation to retain an independent compliance consultant (“IC”) to ...

These proceedings arise from material misstatements and omissions made by Equinox in the offer and sale of units in the Frontier Fund (“TFF”), a publicly ...

A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in ...

INVENT also misrepresented its valuation policy in its periodic filings and failed to implement it, in that INVENT did not consult an advisory board about ...

DeBaggis caused State Street to pay $160,000 to Mohamed Noure Alo (“Alo”) in purported lobbying fees, a substantial portion of which actually operated as kickbacks ...

DeBaggis caused State Street to pay $160,000 to Mohamed Noure Alo (“Alo”) in purported lobbying fees, a substantial portion of which actually operated as kickbacks ...

Goldman’s documentation of its compliance with Reg SHO in its locate log was inaccurate in that Goldman failed to sufficiently differentiate between locates that were filled ...