Portfolio Manager Fined $250,000 for Undisclosed Conflict of Interest

SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of interest. The individual was charged […]

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RIA Censured for Compliance Failures | SEC Fines

SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance violations over an extended period […]

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First SEC Fine Under The Municipal Advisor Registration Rule

Brief Introduction For the first time under the municipal advisor registration rule, the SEC fined a Registered Broker Dealer for a violation of the Rule with $100,000.00 in penalties and […]

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