Examinations Enforcement: Settlement

George Franz's career in financial services came to a close last week. His investment advisory firm, Ruby Corporation ($21M in AUM) in Beachwood, Ohio, will ...

After SEC examiners descended upon a firm and found evidence that clients were being overcharged because account balances weren't being aggregated to qualify for breakpoint ...

This dually-registered adviser settled a case in which the SEC asserted it failed to apply advisory fee discounts to certain retail clients in several of ...

This settlement involved a swindler who raised money on behalf of supposedly private equity funds.

Three years ago, Mark Grimaldi, the CCO who runs Navigator Money Management ($115M in AUM) in Wappingers Falls, N.Y., co-founded the newsletter The Money Navigator ...

When the SEC forces you to hire a compliance consultant as part of a giant settlement, you know there are issues with your program.Compliance missteps ...

Brian Williamson gave his firm's compliance department a chance to review his pitchbook selling the global private equity fund he managed. However, he didn't take ...

This adviser, according to the SEC, committed many violations when it came to valuation of fund assets as well as displaying faulty controls related to ...

This adviser dealt in securities that were hard to value. It came up with detailed valuation procedures that were disclosed in the fund’s offering materials ...

This adviser settled a case about undisclosed compensation and a failure to seek best execution. The SEC says the adviser transacted through his wife, a ...