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 Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company
December 04, 2014The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving[...]
Read ArticleSEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences
December 03, 2014The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider[...]
Read ArticleSEC Charges California Resident With Fraudulent Sales of Stock
December 02, 2014The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock[...]
Read ArticleSEC Names Kevin Kelcourse as Associate Director for Exam Program in Boston
November 26, 2014The Securities and Exchange Commission today announced that it has named Kevin M. Kelcourse as the associate director for the[...]
Read ArticleSEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients
November 25, 2014The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to[...]
Read ArticleSEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price
November 21, 2014The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and[...]
Read ArticleSEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale
November 21, 2014The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with[...]
Read ArticleWedbush Securities and Two Officials Agree to Settle SEC Case
November 20, 2014The Securities and Exchange Commission today announced that Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case[...]
Read ArticleSEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola
November 20, 2014The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in[...]
Read ArticleSEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
November 19, 2014The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next[...]
Read ArticleSEC Adopts Rules to Improve Systems Compliance and Integrity
November 19, 2014The Securities and Exchange Commission today voted to adopt new rules designed to strengthen the technology infrastructure of the U.S.[...]
Read ArticleSEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme
November 18, 2014The Securities and Exchange Commission today charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part[...]
Read Article