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.
Chicago-Area Attorney Charged After SEC Exam Spots Fraud in Real Estate Investment Offering
June 11, 2014The Securities and Exchange Commission today charged the founder of an investment advisory firm located in suburban Chicago with defrauding[...]
Read ArticleSEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations
June 06, 2014The Securities and Exchange Commission today announced charges against a Los Angeles-based market access provider and two officials accused of[...]
Read ArticleSEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information
June 06, 2014The Securities and Exchange Commission today charged a New York-based brokerage firm that operates a dark pool alternative trading system[...]
Read ArticleSEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation
June 03, 2014The Securities and Exchange Commission today announced a whistleblower award of more than $875,000 to be split evenly between two[...]
Read ArticleSEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients
June 03, 2014The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser[...]
Read ArticleSEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities
June 03, 2014The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two[...]
Read ArticleSEC Charges Charter School Operator in Chicago With Defrauding Bond Investors
June 02, 2014The Securities and Exchange Commission today charged a charter school operator in Chicago with defrauding investors in a $37.5 million[...]
Read ArticleSEC Names Stephanie Avakian as Deputy Director of Enforcement
May 29, 2014The Securities and Exchange Commission today announced that Stephanie Avakian has been named deputy director of its Division of Enforcement.[...]
Read ArticleSEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme
May 29, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused[...]
Read ArticleSEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent
May 28, 2014The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and[...]
Read ArticleSEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud
May 27, 2014The Securities and Exchange Commission today filed accounting fraud charges against a Dallas-based company and its former chief financial officer[...]
Read ArticleSEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes
May 22, 2014The Securities and Exchange Commission today announced the latest in a series of cases against microcap companies, officers, and promoters[...]
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