Home SEC Actions

SEC Actions

The latest from the SEC.

Tens of arrows that have missed the target
The adviser has had investment discretion over at least $100 million of reportable securities and was obligated to file quarterly Forms 13F beginning by 2020., ...
Stressed business man covering face with hands in office. Working over time or too much. Problem with failing business or confusion with crisis. Entrepreneur in bankruptcy.
In August 2024, the firm filed 19 Forms 13F, which covered the period from the quarter ending March 31, 2019, to the quarter ending September ...
In April 2024, the firm self-reported to the Commission its failures to file Forms 13F and 13H
worried businessman in the office
The firm failed to resolve known compliance system deficiencies related to the merger
Burnout businesswoman under pressure in the office
While JZAI compliance personnel reviewed various records and correspondence in the ordinary course of business, JZAI did not conduct spot-checks of books and records of ...
Boss denying something saying no with a finger gesture to an upset employee in her office
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 ...
Tired businesswoman in the office
Collett did not reconcile the block trade tickets to the trade log to ensure that the block trades were properly allocated. Instead, Collett trusted that ...
Angry businessman sitting at his desk.
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, ...
A businessman is trapped in his glass office by a surplus of discarded ideas on paper . His colleague in the next office is working more efficiently and is oblivious to him being trapped .
Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying
Close up of unrecognizable businessman holding his fingers crossed while shaking hands with his colleague.
The SEC asserts Randolph Abrahams made numerous misstatements in newsletters shared with investors
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination