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 Halts Scheme by Trio Accused of Stealing Investor Money While Promising “Indestructible Wealth”
September 09, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained to halt an ongoing real estate[...]
Read ArticleSEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program
September 09, 2015The Securities and Exchange Commission today announced fraud charges against a Maryland-based financial services firm and its founder/CEO accused of[...]
Read ArticleSEC Charges Father and Son and Friend With Insider Trading
September 09, 2015The Securities and Exchange Commission today charged a father, son, and friend in Northern California with insider trading in advance[...]
Read ArticleSEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions
September 09, 2015The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and[...]
Read ArticleSEC Charges Video Management Company Executives With Accounting Fraud
September 08, 2015The Securities and Exchange Commission today announced accounting fraud charges against two former top executives of a now-bankrupt online video[...]
Read ArticleSmeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings
September 08, 2015The Securities and Exchange Commission today announced that Smeeta Ramarathnam has been named Deputy Director in the Office of Credit[...]
Read ArticleSEC Charges Three RMBS Traders With Defrauding Investors
September 08, 2015The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on[...]
Read ArticleSEC Charges Bankrate and Former Executives With Accounting Fraud
September 08, 2015The Securities and Exchange Commission today announced that Bankrate Inc. has agreed to pay $15 million to settle accounting fraud[...]
Read ArticleSEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives
September 08, 2015The Securities and Exchange Commission today charged a sports supplements and nutrition company with committing a series of accounting and[...]
Read ArticleSEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees
September 04, 2015The Securities and Exchange Commission today charged a Bellevue, Wash.-based investment advisory firm and its CEO with fraudulently inflating the[...]
Read ArticleSEC Charges Advisory Firm With Fraud for Improperly Retaining Fees
September 02, 2015The Securities and Exchange Commission today announced that an investment advisory firm in Philadelphia has agreed to pay more than[...]
Read ArticleSEC Halts Ongoing Fraud in Minnesota
September 02, 2015The Securities and Exchange Commission today announced fraud charges and an emergency order to halt a Minnesota resident and his[...]
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