Examinations Enforcement: Settlement

If you seek any more data to attest to the mess that was Stanford Capital Management, look no farther than the case of Jason D'Amato. ...

A chief compliance officer who chooses to keep trading records "in my head" rather than in documents is sure to run into trouble, especially if ...

Following all of the recent talk that the SEC will examine private fund advisers for signs they should have registered as a broker-dealer (IA Watch, ...

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...

Stephens settled with the SEC for operating as an unregistered broker and earning transaction-based income in luring clients to a private equity fund adviser.

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

It took a settlement offer and a $30,000 fine for the SEC to drum into a New York investment adviser that it must finally give ...

You've heard the tale of Evergreen Investment Management Company before, along with compliance lessons from its fall (IA Watch, Jan. 30, 2012). The once mighty ...

One RIA CCO pumped up his clients' holdings by playing with the decimal points in a failed attempt to claim SEC registration. A second CCO ...

This adviser withdrew its registration after a slew of compliance violations, including lacking adequate compliance P&Ps and failing to maintain various books and records such ...