Examinations Enforcement: Settlement

Hunter participated in a racketeering conspiracy with the predicate act of, among other things, securities fraud. The criminal indictment alleged that, as part of the ...

SEC last year charged a law firm clerk and a stockbroker with insider trading in a scheme that used a mutual friend to pass material, ...

This is an insider trading case in which Gerard Boudreault traded on the basis of material nonpublic information ahead of a June 20, 2013 public ...

Beginning in late September and continuing through the end of October 2014, Patrick Lehnert, a Harman finance officer located in Germany, purchased the economic equivalent of ...

A civil action by the SEC alleged violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 in connection with MCUSA’s role as ...

These proceedings involve investments in Luca To-Kalon Energy, LLC and Luca Oil, LLC, which were formed to invest in oil and gas ventures in Texas, ...

Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated expenses. On June ...

These proceedings arise out of a fraudulent scheme in which insiders of publicly-traded penny stock companies paid secret kickbacks to a purported corrupt hedge Fund ...

Respondent D&T engaged in improper professional conduct, violated Rule 2-02(b) of Regulation S-X, and caused certain reporting violations by the Funds; Respondent Boynton was a ...

These proceedings arise out of Respondent’s role in a scheme orchestrated by a registered investment adviser to inflate the valuations of certain mortgage-backed securities held ...