Examinations Enforcement: Settlement

This proceeding arises out of GSCO’s violations of the market access rule and an event that disrupted trading in the options markets on August 20, ...

Compliance shortfalls were found. KKR did not adopt and implement a written compliance policy or procedure governing its broken deal expense allocation practices until 2011.

The CPAs never issued a report for either the 2010 or 2011 Exam, did not timely withdraw from the engagements to conduct these examinations and ...

The complaint alleged that, from approximately December 2008 through August 2012, Tulsa-resident Dearman, an investment adviser then working in Bartlesville, Oklahoma, at the direction of his ...

This firm and two principals willfully violated Section 15(a)(1) of the Exchange Act by using the mails or any means or instrumentality of interstate commerce ...

Bradley Holcom, through the TDIP, defrauded investors and obtained money and property by means of materially false and misleading statements in connection with the TDIP ...

These proceedings arise from compliance failures at Pekin Singer, a registered investment adviser. Pekin Singer failed to conduct timely annual compliance program reviews in 2009 and ...

This attorney and owner of a broker-dealer settled charges related to inflating penny stock shares.

The Commission’s complaint alleged that, in connection with the sale of an interest in the Sterling Fund, Williamson falsely stated to investors that the Sterling ...

The Commission’s complaint alleged, among other things, that Gottbetter, acting as counsel to three different issuers of penny stock, Kentucky USA Energy, Inc., Dynastar Holdings, ...