Examinations Enforcement: Settlement

JP Morgan Securities self-reported the issue to the Commission staff, undertook an investigation to confirm that there were no other Clone Pairs available for recommendation ...

If your ESG fund vows to exclude 'fossil fuel' securities, be sure to define what you mean by this phrase

In its representations to the Board and in the ESG Funds’ Prospectuses, WisdomTree did not describe the limitations of the data sets it used from ...

The case offers lessons for brokerage firms involved with complex financial instruments

The firm's compliance officials also erred in not recommending that the adviser also become a registered B-D

Owner suspended six months for ignoring red flags in hiring a rep who turned out to be a fraudster. The rep will likely spend the ...

The SEC’s settlement suggests one compliance action you could consider

Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result

G.A. Repple did not adequately disclose all material facts regarding its share class selection practices and the conflicts of interest that arose when it recommended ...

There were no P&Ps for Marathon employees to conduct due diligence concerning advisers’ evaluation or handling of any potential MNPI or for obtaining a representation ...