SEC: Enforcement

The adviser's ad claimed a principal 'had been named one of the top wealth managers by the readers of San Diego Magazine for 14 consecutive ...

The firms placed an ad on its website containing two third-party ratings that did not clearly and prominently disclose the date on which the rating ...

The firm disseminated an ad claiming it 'serve[s] individuals and institutions independently, with no conflict of interest' without providing any context and after the firm ...

The adviser purported to rely on the audited financials alternative to comply with the custody rule but failed to timely deliver the audited financial statements ...

If you hire an auditor to examine your private funds, make sure the person does the job. If not, the SEC likely won’t come down ...

A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...

Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission

International Assets Advisers failed to provide full and fair disclosures regarding compensation and financial incentives that its affiliated B-D received from a clearing broker

Galois allowed certain fund investors to redeem with less than five business days’ notice. The practice of permitting certain investors, including affiliated investors, to redeem ...

Colony failed to provide the required disclosures to limited partners in advance and to obtain the required approvals from the LPACs or majority-in-interest of limited ...