Examinations Enforcement: Settlement

The dirty side of political fundraising comes through in a new settlement and a continuing case over alleged undisclosed campaign contributions in an attempt to ...

Here's a key perennial lesson to remember: fix deficiencies found in a prior exam.It's been stated many times before but received an exclamation point this ...

All self-reporting of violations to the SEC aren't equal (IA Watch, April 2, 2012). Consider the cases of principals at RH Financial Group ($138M in ...

This is an example of a deferred prosecution agreement entered into with the SEC.

This pair failed to investigate numerous serious red flags indicating misconduct by a colleague, according to the SEC.

Some people just can't take a hint. Even when the SEC told Terry Deru, CCO at Belsen Getty ($64M in AUM) in Salt Lake City, ...

A federal judge last week "reluctantly" signed off on the SEC's civil settlement against hedge fund managers Ralph Cioffi and Matthew Tannin. Some believe the ...

You may need to add another regulator to your radar screen after the Treasury Department's Office of Foreign Assets Control (OFAC) settled last month with ...

Several unusual aspects fill the short selling case filed last week against the broker-dealer optionsXpress, not the least of which is that the firm's two ...

Compliance staff at Goldman Sachs did some good things but also erred in overseeing weekly "huddles" consisting of research analysts sharing their trading opinions with ...