Examinations Enforcement: Settlement

Labadia made material misrepresentations and failed to disclose material facts to investors in connection with unregistered offers and sales of at least $1,973,000 of the ...

Schalk violated Section 5(a) and 5(c) of the Securities Act in connection with unregistered offers and sales of at least $1,973,000 of the securities of ...

This proceeding involves fraud, breaches of fiduciary duty, and compliance failures by Sean Cooper from 2010 to 2012. During that period, Cooper was a managing ...

It’s an often stated maxim delivered at industry conferences: you don’t want your firm’s compliance issues to appear on page one of the Wall Street ...

Wyoming Investment Management Services ($70M in AUM) and its CCO, president, portfolio manager and sole employee Craig Scariot. The SEC stated in the settlement that ...

OCIE examiners have long been interested in undisclosed conflicts and reimbursement relationships. Missteps over disclosing these relationships have led to another enforcement settlement in which ...

F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...

The SEC is clearly living up to its pledge to focus on direct market access violations (IA Watch, Oct. 16, 2014). For the second time ...

A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...

An administrative proceedings release last week by the SEC indicates that Christopher Kelly, the former CCO at Sands Brothers Asset Management ($64M in AUM) in ...