SEC Charges Archives - Vigilant LLC

9 Marketing Rule Violations | SEC Charges

SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule. All involved Firms had violations involving […]

5 Advisory Firms Charged for Custody Rule Violations

SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with the Custody Rule and the […]

11 Firms Charged by the SEC for Recordkeeping Failures

SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties […]

SEC Charges Investment Adviser for Tax Service Misstatements

SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its automated tax loss harvesting service […]

Private Equity Consultant Charged with Insider Trading

SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on February 22nd, 2023. These charges resulted […]

SEC Charges Investment Advisory Firm For Trading Violations

SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve around SEC Rule 105, which is designed […]

SEC Charges $4 Million Over Investments Misrepresented as ESG

SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management of Funds identified as Environmental, Social, […]

SEC Charges 9 Investment Advisers on Custody Rule and ADV Violations

Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC […]