Failure to Disclose Information Costs Firm $50,000

August 04, 2015

Recently, the Securities and Exchange Commission (“SEC”) issued a “cease-and-desist” order against Dion Money Management, LLC (“Dion”) for “failure to disclose to clients the terms of certain compensation arrangements whereby the adviser received payments from third parties that were calculated...

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Purported Adviser in San Diego Charged with Stealing From Clients

July 22, 2015

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Inaccurate Trade Data Costs Firm $4.25 Million

July 15, 2015

On July 14, 2015 the Securities and Exchange Commission (“SEC”) brought an enforcement action against OZ Management LP (“OZ”), an SEC registered investment adviser for giving inaccurate trade information to certain broker-dealers. The SEC’s final order, which was issued upon OZ’s agreement to...

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Masqueraded Lies Cost Small Businesses More Than $4 million

June 17, 2015

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SEC Announces 2015 Compliance Outreach Program Seminars

May 04, 2015

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Ponzi Scheme Seduces Investors for $3.8 Million

February 16, 2015

A Colorado-based pyramid and Ponzi scheme that boasts returns of 700 percent has been charged with fraud by the U. S. Securities and Exchange Commission (“SEC”).  Since April 2014, Kristin Johnson and Troy Barnes who operated under “The Achieve Community,” have fraudulently raised almost $4...

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Cybersecurity Examination Sweep Summary

February 05, 2015

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Pass or Fail: SEC to Review MSRB's Proposed Basic Competency Exam

January 30, 2015

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