SEC: Enforcement

CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...

The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...

Respondent’s bonus compensation was directly tied to success in raising funds for APEF VI, and Abraaj paid him a nearly $2 million bonus in January ...

"I compromised the integrity of my judgment, and for that I am disappointed with myself and very sorry. I do accept full responsibility for my ...

The Advisory Firm had an incentive to recommend the selection of the Capital Reserves and Daily Money share classes for clients, which generally provided clients ...

Case offers early lessons in delegation, cooperation

Peirce worries enforcement action may harm very investors it's designed to protect

Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...

"We urge firms that continue to be delinquent in fulfilling their Form CRS obligations to come into compliance with the law and to self-report to ...

"Lurking behind the legal analysis, however, is an important question:  Is the approach we are taking with crypto lending the best way to protect crypto ...