Tag: Allocation
SEC Charges Adviser and its CCO with Cherry-Picking
The SEC has filed a complaint in federal district court charging an Illinois-based investment adviser and its Chief Compliance Officer, who is also its Chief Operating Officer and co-owner, with...
July 08, 2021
Tags: Allocation, SEC Enforcement
SEC Charges Adviser in Connection with Trade Allocations to Day-Trading Clients
The SEC has charged a Connecticut-based investment adviser in connection with its allocation of trades to clients. The adviser has day-trading clients as well as clients that follow a buy-and-hold...
August 10, 2020
Tags: Allocation, Compliance, Disclosure, SEC Enforcement, Trading
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