SEC: Enforcement

The Aon Partner attributed the error to “data corruption” that “was due to an error by an analyst in uploading NAV and cashflow data from ...

JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...

Chang misappropriated $58,560 from the Investors via 40 unauthorized ACH transfers to accounts in Chang’s name at two online payment applications. Chang took advantage that ...

Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...

The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...

'We need to pay attention to the scope of the duties created by the agreements we sign'

ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...

Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...

"Regulators should be expected to exercise appropriate judgement in carrying out its investigative and sanctioning authority and to have an articulable basis for those decisions. ...