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The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.
October 5
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The fine is the largest ever by the agency for violations of the market access rule.
September 26
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To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.
August 26
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One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.
August 9 -
Consultants are turning to technology as the SEC ramps up RIA exams.
July 26
