SEC: Enforcement

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 ...

“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...

"That said, too often, we see defense counsel—sometimes even including Enforcement alums—engage in conduct that seems to have little purpose other than to delay our ...

The SEC's Division of Enforcement will nearly double the size of its newly renamed Crypto Assets and Cyber Unit

Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...

ARS Capital failed to post Form CRS on its website until after March 4, 2021

Good raised at least $4.8 million in this scheme, including through at least 30 fraudulent investments since 2017. Good did not however use the clients’ ...

Sentence will deter others, judge hopes