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 Insurance Agents in Securities Fraud Targeting Elderly Investors
September 26, 2014The Securities and Exchange Commission today announced charges against four insurance agents for unlawfully selling securities in what turned out[...]
Read ArticleSEC Announces Cases Targeting International Pyramid Scheme Operators
September 26, 2014The Securities and Exchange Commission today announced charges against the operators of an international pyramid scheme that raised more than[...]
Read ArticleSEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting
September 25, 2014The Securities and Exchange Commission today sanctioned a Scottsdale, Ariz.-based software company for having inadequate internal accounting controls over its[...]
Read ArticleSEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud
September 25, 2014The Securities and Exchange Commission today announced suspensions in trading for nine different penny stocks as part of an ongoing[...]
Read ArticleSEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme
September 24, 2014The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud[...]
Read ArticleSEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent
September 23, 2014The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a[...]
Read ArticleSEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud
September 23, 2014The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing[...]
Read ArticleSEC Charges Barclays Capital with Systemic Compliance Failures After Acquiring Lehman’s Advisory Business
September 23, 2014The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to[...]
Read ArticleSEC Names Liban Jama as Director of Atlanta Regional Office
September 23, 2014The Securities and Exchange Commission today announced the appointment of Liban Jama as director of the Atlanta Regional Office, where[...]
Read ArticleRhea Dignam Named as Senior Counsel To OCIE Director
September 23, 2014The Securities and Exchange Commission today announced that Rhea Kemble Dignam has been named as senior counsel to the director[...]
Read ArticleSEC Announces Arrival of New Administrative Law Judge
September 22, 2014The Securities and Exchange Commission today announced that Jason S. Patil begins work at the agency this week as an[...]
Read ArticleWells Fargo Advisors Admits Failing to Maintain Controls and Producing Altered Document, Agrees to Pay $5 Million Penalty
September 22, 2014The Securities and Exchange Commission today charged Wells Fargo Advisors LLC with failing to maintain adequate controls to prevent one[...]
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