SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation

The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of Corporation Finance and Senior Advisor for Digital Assets and Innovation for Division Director Bill Hinman.  In this …

SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients

The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose conflicts of interest to its retail clients. The settlement …

SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients

The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose conflicts of interest to its retail clients. The settlement …

SEC Charges 13 Private Fund Advisers for Repeated Filing Failures

The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk.

According to the SEC’s orders, the advisers failed to…

SEC Charges 13 Private Fund Advisers for Repeated Filing Failures

The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk.

According to the SEC’s orders, the advisers failed to…

Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis

The Securities and Exchange Commission today announced that Dr. Chyhe Kim Becker has been named as the Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis (DERA). 

Dr. Becker joined the SEC in 2008 as Assistant Ch…

SEC Names Julie A. Erhardt Acting Chief Risk Officer

The Securities and Exchange Commission today announced that Julie A. Erhardt has been named the Commission’s Acting Chief Risk Officer, to serve while the agency completes its search to fill this important new position.  
As Acting Chief Risk Officer, …

SEC Charges Investment Banker in Insider Trading Scheme

The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to highly confidential information in order to place illicit and profitable trades in advance of deals on which the bank wa…

Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis

The Securities and Exchange Commission today announced that Dr. Chyhe Kim Becker has been named as the Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis (DERA). 

Dr. Becker joined the SEC in 2008 as Assistant Ch…

SEC Names Julie A. Erhardt Acting Chief Risk Officer

The Securities and Exchange Commission today announced that Julie A. Erhardt has been named the Commission’s Acting Chief Risk Officer, to serve while the agency completes its search to fill this important new position.  
As Acting Chief Risk Officer, …

SEC Charges Investment Banker in Insider Trading Scheme

The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to highly confidential information in order to place illicit and profitable trades in advance of deals on which the bank wa…

SEC Charges Long Island Investment Professional in $8 Million Scam Targeting Long-Standing Brokerage Customers

The Securities and Exchange Commission today charged a former registered representative with defrauding long-standing brokerage customers in an $8 million investment scam. 

According to the SEC’s complaint, Steven Pagartanis, who was affiliated with …