Examinations Enforcement: Settlement

As a result of Burke’s misconduct, certain other Rochdale customers generally paid higher average prices on purchase orders or received lower average prices on sale ...

Arrowhead LLC directed money into a Ponzi scheme operated by Thomas J. Petters by selling interests in funds operated by Arrowhead LLC to investors. Petters ...

NAM failed to disclose to its advisory clients in writing or obtain their consent to over 21,000 securities trades executed in a principal capacity by ...

The SEC last year charged Vladimir Eydelman, a former stockbroker employed by Oppenheimer & Co. and later by Morgan Stanley, in a scheme involving the ...

The PPMs for each of the five Funds state that “[t]he financial statements of the Fund for each fiscal year will be prepared in accordance ...

UBS Willow Management’s misrepresentations and omissions concerning a material change in the investment strategy1 of UBS Willow Fund L.L.C., a continuously offered, closed-end, registered investment ...

During the relevant time period, Mr. Welhouse allocated a disproportionate number of profitable SPY options trades to favored accounts (accounts belonging to Mr. Welhouse or ...

These proceedings involve structured notes issued by UBS which were linked to a proprietary foreign exchange trading strategy called the V10 Currency Index with Volatility ...

These proceedings arise out of WT’s and WAM’s failure to establish, maintain, or enforce written policies and procedures reasonably designed, taking into consideration the nature ...

Briargate, an unregistered proprietary trading firm based in New York, New York, and Oscher, one of its principals, utilized a market manipulation strategy known as ...