Examinations Enforcement: Settlement

This adviser settled with the SEC over custody violations that included maintaining Letters of Authorization (LOA) kept blank for hundreds of accounts.

This adviser settled with the SEC for custody violations. These included not arranging annual surprise exams of assets it custodied.

This adviser settled with the SEC for violations of the custody rule, including failing to arrange for an annual surprise examination to verify the funds’ ...

This firm settled with the SEC for violations having to do with charging avoidable 12b-1 fees and for not seeking best execution.

Fudging the numbers. Secrecy. Permitting traders too large of a role in valuation. These are among the lessons offered up by last week's settlement by ...

Kugel worked for Bernie Madoff, handling the firm's proprietary trading and market-making operations as well as administering the firm's health and retirement plans.

New SEC Chair Mary Jo White's promise to re-examine the agency's settlement policy has borne fruit. Only weeks after commissioners rejected a settlement, the defendants ...

The argument that a CEO shouldn't also be a firm's CCO got a lot stronger as the SEC has mandated that a specific adviser must ...

This dually-registered investment adviser and broker-dealer failed to seek best execution in breach of its fiduciary duty under the Advisers Act and also neglected to ...

This firm settled with the SEC over allegations of a poor compliance shop and disclosure and best execution violations.