Examinations Enforcement: Settlement

The two advisers had overlapping owners, overlapping managers, overlapping advisory personnel, and overlapping operations including shared office space, without any policies or procedures to ensure ...

In August 2024, Respondent filed 18 Forms 13F, which covered the period from the quarter ending December 31, 2019, to the quarter ending March 31, ...

Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying

The SEC asserts Randolph Abrahams made numerous misstatements in newsletters shared with investors

A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed

In total, since 2018, Hi2 Manager violated the custody rule on 17 occasions

The firm advertised that it was rated a 'Top 12 Financial Advisor' by Barron’s when it actually was rated a 'Top 1200 Financial Advisor' by ...

The firm has recognized and disclosed various conflicts so it lacked a reasonable basis for believing it would be able to substantiate an ad that ...

The ad claimed the firm 'provides clients with conflict-free advice' while the firm lacked a reasonable basis for believing it would be able to substantiate ...

The firm claimed that advertised statements were testimonials but the quotations came from a person who was no longer a client of the firm and ...