Adviser Fined for Unlawful Cross-Trades and Principal Transactions
An adviser was fined for unlawful principal and cross-trades after implementing an automated trade matching program.
December 01, 2022
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SEC Charges Adviser for Violating Short Selling Restrictions
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June 20, 2022
New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules
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May 13, 2022
SEC Charges Trader with Front Running Employer’s Client Accounts
SEC Charges Trader with Front Running Employer’s Client Accounts Complaint Alleges over $3.6 Million in Illicit Gains July 7, 2021 The SEC has filed a complaint in New York...
July 07, 2021
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
December 28, 2020
SEC Fines Adviser $450,000 for Engaging in Prohibited Cross Trades and Principal Transactions
SEC Fines Adviser $450,000 for Engaging in Prohibited Cross Trades and Principal Transactions October 2, 2020 The SEC has settled charges with a Kansas-based investment adviser for engaging in...
October 02, 2020
New Jersey-Based Adviser Charged with Cherry-Picking
New Jersey-Based Adviser Charged with Cherry-Picking September 18, 2020 The SEC charged a New Jersey-based investment adviser and its president in connection with a “cherry-picking” scheme that the SEC...
September 18, 2020
SEC Fines Affiliated Advisers $1 Million for Misrepresentations to Fund Boards in Connection with Payments for Order Flow August 10, 2020 The SEC has charged two affiliated investment advisers...
August 10, 2020