SEC Actions

KMS lacked its own Incident Response Policy and used an Incident Response Policy tailored to a different Ladenburg subsidiary, which required completion of a particular ...

Cambridge did not require any other enhanced security measure to prevent similar compromises in the future, such as implementation of multi-factor authentication

The email account takeovers resulted in the exposure of Cetera Entities’ customers’ PII stored in the compromised email accounts. None of the compromised email accounts ...

The Commission is issuing this Request related to the use and development of digital engagement practices by firms on their digital platforms

JWCA, although eligible to do so, did not self-report this 12b-1 fee related conflict of interest to the Commission pursuant to the Division of Enforcement’s ...

Because of the length of time Woods has been running the Ponzi scheme, the Commission has not yet fully determined the scope of the fraud. ...

In its Form ADV dated March 26, 2018, before NWA wound down its adviser services, NWA reported that it had $362 million in regulatory assets ...

Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...

This arrangement created an incentive for ISCA to leave client cash in one of these three cash options over other investments

Rosedale participated in a widespread bribery scheme that targeted as prospective clients NCAA Division I college athletes