Examinations Enforcement: Settlement

A look at SEC settlement activity for the first half of FY 2011 discovers that the agency settled only 25 insider trading cases. However, the ...

Nearly six months after IA Watch reported Morgan Keegan had reserved $200 million to resolve fraud charges (IA Watch, Jan. 3, 2011), the company last ...

With shades of the Goldman Sachs-Abacus CDO case, the SEC last week settled with J.P. Morgan for misleading investors - some of them investment advisory ...

What began as two partners with $1,000 in 1997 grew into an RIA managing $7.2 billion 14 years later. But the story of Aletheia Research ...

Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...

This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.