SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …

SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses

The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to t…

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses

The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to t…

SEC Charges New Defendant in $43 Million Tribal Bonds Scheme

The Securities and Exchange Commission today charged a Los Angeles man for his role in a fraudulent scheme to gain undisclosed control over two registered investment advisers so that he, his partner, and their associates could steal $43 million of clie…

Chairman Clayton Highlights New Members of Executive Staff

The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.

Chairman Clayton’s executive staff is responsible for advising the C…

Chairman Clayton Highlights New Members of Executive Staff

The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.

Chairman Clayton’s executive staff is responsible for advising the C…

SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs

The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Pandol will advise the Chairman, Commissioners, and SEC staff on legislativ…

SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs

The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Pandol will advise the Chairman, Commissioners, and SEC staff on legislativ…

SEC Names Bryan Wood as Deputy Chief of Staff

The Securities and Exchange Commission today announced that Bryan Wood has been named the agency’s Deputy Chief of Staff.

Mr. Wood has served as the Director of the Office of Legislative and Intergovernmental Affairs (OLIA) since June 2017, where he a…

SEC Names Sean Memon as Chief of Staff

The Securities and Exchange Commission today announced that Sean Memon will become the agency’s Chief of Staff.   

Mr. Memon has served as the SEC’s Deputy Chief of Staff since May 2017.  In that capacity, Mr. Memon has served as a senior advisor to C…

SEC Chief of Staff Lucas Moskowitz to Leave the Agency

The Securities and Exchange Commission today announced that SEC Chief of Staff Lucas Moskowitz will leave the agency in early August and will return to the private sector.

Mr. Moskowitz has served in various roles in the federal government for nearly …