SEC: Enforcement

'Investors were unable to make a fully informed decision,' SEC claims as it hints at 'ongoing' developments

"WAM’s compliance department also received a number of automatically generated daily and weekly exception reports that correctly identified the offerings at issue as ones that ...

"ECP should not have allocated to Fund III more than its proportional share of such expenses"

The advisers' "Forms ADV Part 2A, included misleading statements about the Respondents’ cash allocation decisions for the SIP portfolios, and failed to adequately disclose the ...

The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...

Since at least January 2016, and continuing from the date Harnish purchased KMA in February 2020 and through December 2020, KMA invested the vast majority ...

These disclosures did not adequately disclose all material facts regarding the conflicts of interest that arose when it invested advisory clients through the Introducing Broker-Dealer ...

These disclosures that commission rates charged “may” not be the “lowest,” the “absolute lowest,” or even “not the lowest” failed to fully and fairly disclose ...

EXAMS contacted AFSC’s CCO by email on October 14, 2020 to alert the CCO that the firm had failed to file Form CRS. AFSC, however, ...