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 Four in Fraudulent “Free Dinner” Scheme
April 04, 2016The Securities and Exchange Commission today announced that it has charged four individuals in a fraud whose victims included seniors[...]
Read ArticleSEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine
March 31, 2016The Securities and Exchange Commission today charged Navistar International Corp. with misleading investors about its development of an advanced technology[...]
Read ArticleSEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use
March 30, 2016The Securities and Exchange Commission today announced that a San Francisco-based biotech venture capitalist has agreed to settle charges that[...]
Read ArticleFormer TV Commentator Settles Penny Stock Fraud Charges
March 29, 2016The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle[...]
Read ArticleSEC: Biotech Company Misled Investors About New Drug’s Status With FDA
March 29, 2016The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based biotech company and three former executives for misleading[...]
Read ArticleSecurities Professional Charged With Defrauding Institutional Investors
March 28, 2016The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest[...]
Read ArticleSEC Halts Fraud by Manager of Investments in Pre-IPO Companies
March 25, 2016The Securities and Exchange Commission today announced fraud charges and asset freezes obtained in a case filed against a New[...]
Read ArticleKeith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office
March 21, 2016The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Director of the agency’s Office of[...]
Read ArticleSEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses
March 15, 2016The Securities and Exchange Commission today charged a former Boston resident with operating a $10 million Ponzi scheme that claimed[...]
Read ArticleMunicipal Advisor Charged for Failing to Disclose Conflict
March 15, 2016The Securities and Exchange Commission today charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their[...]
Read ArticleSEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments
March 14, 2016The Securities and Exchange Commission today charged a microcap company CEO for falsely claiming to have a lucrative relationship with[...]
Read ArticleAIG Affiliates Charged With Mutual Fund Shares Conflicts
March 14, 2016The Securities and Exchange Commission today announced charges against three AIG affiliates for steering mutual fund clients toward more expensive[...]
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