SEC: Enforcement

Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...

"There is no legal authority cited in the Commission Order for the finding that mutual fund share class selection implicates an investment adviser’s duty to ...

Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...

Cases raise 'red flags' for funds' due diligence

"Instead of taking the path of thinking through staking programs and issuing guidance, we again chose to speak through an enforcement action"

Industry groups warn Gensler on overreach

Enforcement Division relying on 'overly broad interpretation,' groups warn

Regulators 'really pushing the boundaries' with fintech

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"