Examinations Enforcement: Settlement

In the absence of performing the planned third party confirmations, Respondents did not perform alternative or additional procedures to test the existence of SSVF’s purported investment ...

The Commission’s complaint alleged that, from January 2009 through December 2010, Dunoff participated in a fraudulent offering scheme. As part of the scheme, Dunoff set up ...

Colangelo made numerous material misrepresentations to investors, including misrepresentations concerning the use of investor funds and historical trading returns. The complaint also alleged that, from ...

This matter concerns misleading advertisements created by MCI, a New Hampshire-based registered investment adviser, and distributed by MCI and its then principal Mackensen in connection with ...

From at least 2009 through 2012, while Arnett Waters was a registered representative associated with A.L. Waters Capital, he operated a fraudulent scheme through which ...

The Exchange Fees created actual and potential conflicts of interest that Taberna failed to disclose to its clients, in violation of Taberna’s fiduciary duty as ...

Diversified, Havanich, DellaSala, and Welch made material misrepresentations and omissions about Diversified’s financial performance and use of industry experts and technologies in Diversified’s offering material ...

From about February 2008 to about March 2012, Bennett provided an employee of a proxy solicitation firm with nonpublic information about ISS clients in exchange ...

The complaint alleged that Glover, who was a managing member of Colonial Tidewater, solicited investments in partnership interests in Colonial Tidewater through materially false and misleading ...

CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not reasonably ...