SEC: Enforcement

PIMCO inadequately disclosed that paired interest rate swaps in PGP’s portfolio had become a material source of distributable income, which enabled PIMCO to maintain PGP’s ...

Firm will 'vigorously defend' second SEC suit in a decade, CCO says

Case 'should scare' advisers, expert says

Firm was late in disclosing conflicts, SEC claims

Could the days of SEC ALJs be numbered?

RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...

As dollars shrink, fraud risks come in three waves, experts warn

Pinnacle did not conduct sufficient periodic reviews of client advisory accounts to determine whether client accounts were being managed in accordance with their investment mandates

Masella, who knew the private placement shares were illiquid and restricted, worked with Pinnacle and its principals to classify the investment as “less liquid” rather ...

"Investment advisers and broker-dealers that recommend these products must ensure that they are in the client’s or customer’s best interest"