SEC: Enforcement

Woods is due to be sentenced in September after pleading guilty in a related criminal case

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

Changes haven't been linear, but the direction has

The SEC’s stance on crypto sales and securities laws took a hit recently with a federal judge’s mixed ruling that gave the Commission both a ...

Monroe Capital personnel became involved in multiple SPACs for which certain of Monroe Capital’s supervised persons co-owned the sponsoring entities, but Monroe Capital lacked policies ...

Even advisory giants can be felled by poor compliance oversight

Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...

Robert Allen Gravette failed to adequately disclose the compensation arrangements he negotiated with the fund managers of four private placement offerings he recommended to his ...

Within days of receiving the investor’s $1 million, Betanabhatla—in direct violation of the promises made to the investor and contrary to Fund IV’s stated investment ...