Examinations Enforcement: Settlement

You may need to add another regulator to your radar screen after the Treasury Department's Office of Foreign Assets Control (OFAC) settled last month with ...

Several unusual aspects fill the short selling case filed last week against the broker-dealer optionsXpress, not the least of which is that the firm's two ...

Compliance staff at Goldman Sachs did some good things but also erred in overseeing weekly "huddles" consisting of research analysts sharing their trading opinions with ...

SEC examiners first spotted the issue and last week the enforcement staff settled a case for $300,000 against an RIA that failed to follow written ...

You may wish to redouble your efforts to correct serious deficiencies found in your last SEC exam after last week's announced enforcement actions from the ...

Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan Stanley ...

Last week Citigroup's number came up in the SEC's investigation of scandalous CDO sales tied to the real estate collapse, and it was another big ...

Like father, like son. The SECalleges a former Goldman Sachs employee engaged in insider trading by passing on information to his father on coming ETF ...

It's not every day the SEC settles with a firm for $850,000 in a case that harmed no investors but hangs only on shoddy compliance ...

It's been an expensive month for J.P. Morgan when it comes to settling SEC cases. Last week it contributed $228 million to settle charges with ...