SEC: Enforcement

Calamari will lead two-person team, pursue any potential litigation, Infinity Q says

'Train's moving,' expert warns

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...

CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy

You may well be thinking, 'wait, I thought the nation’s High Court already took up this issue.' Well, you’d be partly correct

These amounts are effective beginning on January 15, 2022, and will apply to all penalties

Ebony CEO used funds to keep mag afloat, regulators claim.

Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...

Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO

Abbate held the titles of COO and portfolio manager for fund A and the titles of CIO and portfolio manager