SEC Actions

Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha

Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...

“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...

[W]e are of the view that greater transparency and more robust investor protections could assist investors in evaluating and making investment, voting, and redemption decisions ...

Muntin misappropriated over $305,000 from one of his elderly, investment advisory clients

High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims

"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...

Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management

The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...

Benefits of the pooled trust investors have been put at risk because, in reality, FPC operated and managed the trusts for its own profit