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June 20, 2022
Adviser Fined for Custody Rule Violations for Facilitating Loans Between Clients
The SEC has fined a California-based registered investment adviser and its president for custody failures. The president, who was the majority owner of the adviser, facilitated $30 million in loans...
October 07, 2021
The SEC is suing a Missouri adviser for allegedly investing client assets in expensive mutual fund share classes to avoid paying transaction fees.
October 06, 2021
In Revenue Sharing Case, SEC Highlights Failure to Consider Other Money Market Funds for Cash Sweeps
Adviser Pays Over $760,000 to Settle Charges In yet another case involving cash sweep accounts, the SEC has fined a New York-based adviser in connection with failing to disclose revenue...
October 06, 2021
Adviser, Principals Fined for Charging Clients Fees Without Providing Advice
One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
October 05, 2021
SEC Action on Complex Products Highlights Need for Training and Supervision
The SEC has settled charges against a Missouri-based adviser over unsuitable investment recommendations of complex financial products.
September 22, 2021
Adviser Fined for Conflicts Disclosure and Custody Issues Related to Private Fund Investments
The SEC has fined a Connecticut-based investment adviser and its principal for inadequate disclosure of conflicts of interest related to investments of a private fund client and for violations of...
September 22, 2021
SEC Brings More Revenue Sharing Disclosure Cases
SEC Brings More Revenue Sharing Disclosure Cases August 17, 2021 Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first...
August 17, 2021
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