SEC: Enforcement

The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...

In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program

The settlement states that Mellon’s 'compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared'

Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...

FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...

Nobody likes to be jerked around, including SEC enforcement staff

Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...

Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha

Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...