SEC: Enforcement

"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...

Fiscal year 2022 proved a windfall for the SEC, as it issued $6.4 billion in penalties, interest and disgorgement, a whopping 68% higher than FY ...

The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year

It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran

Exams focus on alt data, suspicious "wins"

More than one in five cases involved fees, expenses or valuations

As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...

Boston adviser learns value of good compliance officer

'Broken windows' gets industry workout

Ahuja engaged in a fraudulent scheme to inflate the value of securities held by several private investment funds managed by Ahuja and Premium Point. The ...