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 Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
August 14, 2014The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the[...]
Read ArticleRobert Keyes, Senior Officer in New York Regional Office, to Retire After Nearly 22 Years of Federal Service
August 12, 2014The Securities and Exchange Commission today announced that Robert J. Keyes, a senior officer in the New York Regional Office,[...]
Read ArticleSEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability
August 11, 2014The Securities and Exchange Commission today announced securities fraud charges against the state of Kansas stemming from a nationwide review[...]
Read ArticleSEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager
August 08, 2014The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was[...]
Read ArticleSEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners
August 08, 2014The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating[...]
Read ArticleSEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office
August 08, 2014The Securities and Exchange Commission today announced that it has named Thomas M. Piccone to lead the National Exam Program[...]
Read ArticleSEC Charges Former CEO of ConvergEx Subsidiary in Scheme to Deceive Customers About Trading Fees
August 07, 2014The Securities and Exchange Commission today charged the former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC[...]
Read ArticleSEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies
August 05, 2014The Securities and Exchange Commission today charged four promoters with ties to the Pacific Northwest for manipulating the securities of[...]
Read ArticleSEC Announces Oil-and-Gas Fraud Charges Against Houston-Based Company and CEO
August 04, 2014The Securities and Exchange Commission today announced charges against a Houston-based oil-and-gas exploration and production company and its CEO for[...]
Read ArticleSEC Obtains Nearly $70 Million Judgment Against Richmond, Va.-Based Firms and CEO Found Liable for Defrauding Investors
August 01, 2014The Securities and Exchange Commission today announced that it has obtained a final judgment in federal court in Tennessee requiring[...]
Read ArticleSEC Enforcement Division Modifies Municipalities Disclosure Initiative
July 31, 2014The Securities and Exchange Commission today announced modifications to its Enforcement Division’s Municipalities Continuing Disclosure Cooperation (MCDC) Initiative that will[...]
Read ArticleSEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers
July 31, 2014The Securities and Exchange Commission today charged a broker based in Roanoke, Va., with defrauding elderly customers, including some who[...]
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