Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
SEC Charges CEO and Boiler Room Operator With Fraud
September 26, 2016The Securities and Exchange Commission today charged a former microcap company CEO and a boiler room operator with defrauding seniors[...]
Read ArticleMerrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes
September 26, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $12.5 million penalty for maintaining[...]
Read Article”Movie Studio” Executives Charged With Microcap Fraud
September 23, 2016The Securities and Exchange Commission today charged three company executives with defrauding investors in a purported project to construct the[...]
Read ArticleBlank Check Company Manufacturer Charged With Fraud
September 21, 2016The Securities and Exchange Commission today announced fraud charges against a Florida man who was part of a scheme to[...]
Read ArticleSEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading
September 21, 2016The Securities and Exchange Commission today charged hedge fund manager Leon G. Cooperman and his firm Omega Advisors with insider[...]
Read ArticleSEC Issues $4 Million Whistleblower Award
September 20, 2016The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower whose original information[...]
Read ArticleErnst & Young, Former Partners Charged With Violating Auditor Independence Rules
September 19, 2016The Securities and Exchange Commission today announced that public accounting firm Ernst & Young has agreed to pay $9.3 million[...]
Read ArticleMarijuana-Related Company Charged with Scheming Investors
September 16, 2016The Securities and Exchange Commission today announced fraud charges in a scheme involving illegal stock sales and false financial filings[...]
Read ArticleJennifer Marietta-Westberg, Deputy Director and Deputy Chief Economist of the Division of Economic and Risk Analysis, to Leave SEC after Ten Years of Service
September 15, 2016The Securities and Exchange Commission announced today that Jennifer Marietta-Westberg, Deputy Chief Economist and Deputy Director of the SEC’s Division[...]
Read Article“Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges
September 13, 2016The Securities and Exchange Commission today announced that a self-proclaimed “stock trading whiz kid” and his stock newsletter company in[...]
Read ArticleSEC: Company Failed to Disclose Credit Risk in Investments
September 13, 2016The Securities and Exchange Commission today announced that a Portuguese-based telecommunications company has agreed to pay a $1.25 million penalty[...]
Read ArticleBOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme
September 09, 2016The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more[...]
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