SEC Actions

Recordings caught Kamensky saying "Because they’re going to say that I abused my position as a fiduciary, which I probably did, right? Maybe I should ...

Compliance personnel recommended moving the FuelCell account to another trading desk to take advantage of that desk’s “newly built execution protocols for issuer stock sales.” ...

"we believe that an investment adviser that uses automated voting should consider disclosing" these two things

"We have declined to adopt such a prescriptive approach at this time, but rather have focused on an incremental principles-based approach in order to see ...

Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds

The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...

Due to the intermittent inaccessibility of physical certificates at DTC as a result of ongoing concerns related to the effects of COVID–19, sell orders for ...

The final rule defines the term covered broker or dealer as ‘‘a covered financial company that is a qualified broker or dealer’’

At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...

A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...