Examinations Enforcement: Settlement

If inflating his firm's AUM on its Form ADV were his only crime, Eugenio Verzili might still have a job. This month the agency barred ...

Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and ...

The entities settled a case that had at its root undisclosed compensation, which was obtained by charging increased commissions on trades for clients through its ...

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 ...