Examinations Enforcement: Settlement

GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loan ...

Respondent misappropriated a total of $4.4 million from two brokerage accounts: The Schultz Trust account on which Respondent was the trustee and the registered representative; ...

TSA engaged in thousands of securities transactions with advisory clients on a principal basis through an affiliated broker-dealer, without providing prior written disclosure to, or ...

This matter involves violations by Respondents in failing to adequately complete requisite surprise examinations pursuant to Section 206(4) of the Advisers Act and Rule 206(4)-2 ...

Parallax, an investment adviser registered with the Commission from March 2010 to November 2012, willfully violated the principal transaction prohibitions and the custody and compliance rules ...

These proceedings arise out of registered representative Murat M. Dorkan’s participation in an offering fraud in connection with the sale of Empire Corporation “Senior Subordinated ...

According to the complaint, Artzberger told the victims that they needed to diversify their investments and that she would arrange for distributions from their brokerage ...

Pollack created a false appearance of market activity in Issuer A’s stock by engaging in over 200 wash trades through his control of eight accounts ...

On March 4, 2015, Coleman consented to an order issued by the State of Illinois Secretary of State Securities Department in In the Matter of ...

Uppal devised and knowingly executed a scheme to obtain money and funds from Jefferson Smith investors by means of false or fraudulent pretenses, representations, or promises ...