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 …

SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta

The Securities and Exchange Commission today announced that the SEC Investor Advisory Committee (IAC) will hold its first-ever meeting outside Washington, D.C. on June 14, 2018 at 8:30 a.m. in Atlanta.

In another first, all five SEC Commissioners are …

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 …

SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta

The Securities and Exchange Commission today announced that the SEC Investor Advisory Committee (IAC) will hold its first-ever meeting outside Washington, D.C. on June 14, 2018 at 8:30 a.m. in Atlanta.

In another first, all five SEC Commissioners are …