SEC Actions

"In March 2020, in connection with an economic shock from the onset of the COVID-19 pandemic, certain types of money market funds had significant outflows ...

Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...

"The aura of success portrayed by the GPB and Ascendant Defendants was an illusion. In reality, GPB Capital used investor funds to cover the shortfall ...

Amogh Karney made untrue statements to an investor in connection with the offer and sale of $75,000 of securities in an investment fund that Karney ...

Van Wyk was aware that a DIA client who had entered into a limited partnership investment contract with Essex Capital was having difficulties collecting over ...

From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client

Blank check companies should do an inventory of potential conflicts and make sure they’re disclosing them “clearly” when either launching an IPO or considering a ...

As rule 17f-2 assumes actual physical possession of underlying securities (i.e., the certificates)[6], you propose that the Funds cease providing the Loan Documents to their ...

The firm's Chief Compliance Officer recommended that Spitzer terminate APA’s association with the Adviser Representative however Spitzer decided not to. Now he's fined $20,000

We generally view a 'pre-existing' relationship as one that the issuer has formed with an offeree prior to the commencement of the offering or, alternatively, ...