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 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[...]
Read ArticleSEC Charges Vitamin Company’s Former Board Member and Brothers With Insider Trading
May 22, 2014The Securities and Exchange Commission today charged a former director of a Long Island-based vitamin company and others in his[...]
Read ArticleSEC Charges Sarasota-Based Private Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme
May 21, 2014The Securities and Exchange Commission today charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme[...]
Read ArticleSEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules
May 20, 2014The Securities and Exchange Commission today charged the former chief risk officer at Deloitte LLP for causing violations of the[...]
Read ArticleSEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations
May 19, 2014The Securities and Exchange Commission today announced charges against four former officials at clearing firm Penson Financial Services for their[...]
Read ArticleSEC Charges Two Clinical Drug Trial Doctors With Insider Trading
May 19, 2014The Securities and Exchange Commission today charged two California-based doctors with illegally trading on inside knowledge that the Food and[...]
Read ArticleSEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions
May 16, 2014The Securities and Exchange Commission today cautioned investors about the potential for fraud in microcap companies that claim their operations[...]
Read ArticleSEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments
May 15, 2014The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments[...]
Read ArticleSEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
May 15, 2014The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that[...]
Read ArticleChief Accountant Paul Beswick to Leave SEC
May 15, 2014The Securities and Exchange Commission today announced that Chief Accountant Paul A. Beswick is leaving the agency to return to[...]
Read ArticleSEC Names Gina Talamona as Communications Director
May 14, 2014The Securities and Exchange Commission today announced that Gina Talamona has been named communications director. Ms. Talamona, who will report[...]
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