SEC Actions

Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...

"we are adopting an expedited review process for routine applications, an informal internal procedure for applications that would not qualify for the expedited process, and ...

The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...

A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...

Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...

Dang advised the couple to transfer their retirement money to an online brokerage firm and to provide him with their log-in credentials so that he ...

Rodemer’s deceptive conduct continued even after he became aware that his misconduct was being investigated

A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...

Graham Bordelon caused its clients to receive credits on 12b-1 fees back to their accounts and began a process of converting its clients’ mutual fund ...

SQN Capital relied on the Audited Financials Alternative to attempt to comply with the custody rule during the relevant period but failed to do so