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 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[...]
Read ArticleSEC Announces Award for Whistleblower Who Reported Fraud to SEC After Company Failed to Address Issue Internally
July 31, 2014The Securities and Exchange Commission today announced an award of more than $400,000 for a whistleblower who reported a fraud[...]
Read ArticleArchitect of Variable Annuities Scheme Agrees to Pay $850,000, Admit Wrongdoing, and Be Barred From Securities Industry
July 31, 2014The Securities and Exchange Commission today announced that the architect of a variable annuities scheme designed to profit from the[...]
Read ArticleSEC Charges Company CEO and Former CFO With Hiding Internal Controls Deficiencies and Violating Sarbanes-Oxley Requirements
July 30, 2014The Securities and Exchange Commission today announced charges against the CEO and former CFO of a Florida-based computer equipment company[...]
Read ArticleSEC Names Alberto Arevalo as Associate Director in the Office of International Affairs
July 30, 2014The Securities and Exchange Commission today announced that Alberto Arevalo has been named an associate director in the Office of[...]
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