SEC: Enforcement

Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...

HG Vora Capital Management failed to file the required Schedule 13D disclosing its “control” purpose, current shareholdings, and other specified information within ten days

Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...

Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it

"investor interest in ESG has also led to significant growth in investment advisers offering ESG-branded investment products. This can also lead to situations where a ...

Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...

The Reg BI violations affected about 5,900 retail accounts, causing the clients to pay $936,000 more in expenses for substantially equivalent funds than they otherwise ...

The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...

In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...

Commission staff uncovered Cambridge’s misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers. Cambridge has initiated a ...