Securites Exchange Commission | Press Releases
Securites Exchange Commission

SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office

The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named the Associate Director for the Division of Investment Management’s Rulemaking Office.  As Associate Director, Ms. ten Siethoff will develop recommendations for rulemaking and other policy initiatives relating to funds and investment advisers under the federal …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Michael J. Mona, Jr.

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Securites Exchange Commission | Press Releases
Securites Exchange Commission

Jehu Hand, et al.

Litigation Release No. 24159 / June 6, 2018 USA v. Jehu Hand, Case No. 1:15-cr-10386-WGY (D. Mass.) Securities and Exchange Commission v. Jehu Hand, et al., Civil Action No. 1:15-cv-14109 (D. Mass. filed Dec. 10, 2015) The Securities and Exchange Commission announced that on May 21, 2018, a jury in …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Ralph T. Iannelli et al.

Litigation Release No. 24158 / June 6, 2018 Securities and Exchange Commission v. Ralph T. Iannelli et al., Civil Action No. 2:18-cv-05008 (U.S. District Court for the Central District of California) The Securities and Exchange Commission charged an equipment leasing company and its founder with defrauding investors in connection with …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation”

The Securities and Exchange Commission (“SEC” or “Commission”), as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed herein are those of the author and do not necessarily reflect the views of the Commission, individual Commissioners, or of the …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Alderson, et al.

The Securities and Exchange Commission has charged two former managers of SEC-registered investment adviser deVere USA, Inc. for allegedly making misleading statements and omissions concerning economic conflicts of interest and other issues. The SEC’s complaint, filed in federal district court in Manhattan, alleges that former deVere USA CEO, Benjamin Alderson, …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Gary W. Freeman

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Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

Paul Gilman

Litigation Release No. 24156 / June 5, 2018 Securities and Exchange Commission v. Paul Gilman, Civil Action No. 3:18-cv-1421 (N.D Tex., filed June 4, 2018) The Securities and Exchange Commission announced fraud charges against musician Paul Gilman and his companies, alleging that nearly all of the money they raised in …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure

Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds.  In three related releases, the Commission provided a new, optional “notice and access” method for delivering fund shareholder reports, invited investors and others to share their views on improving fund disclosure …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Edward Withrow, et al.

Litigation Release No. 24155 / June 4, 2018 Securities and Exchange Commission v. Edward Withrow, et al., No. 15-cv-13348 (D. Mass. filed Sept. 14, 2015) United States v. Edward Withrow, No. 15-cr-10261 (D. Mass. filed Sept. 14, 2015) A former chairman of a Massachusetts-based medical diagnostics company previously called Endeavor …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

Barbara A. Endres

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Securites Exchange Commission | Press Releases
Securites Exchange Commission

Christopher C. Burtraw

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Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation

The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of Corporation Finance and Senior Advisor for Digital Assets and Innovation for Division Director Bill Hinman.  In this newly created advisory position, Ms. Szczepanik will coordinate efforts across all SEC Divisions …

Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

deVere USA, Inc.

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Securites Exchange Commission | Press Releases
Securites Exchange Commission

SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients

The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose conflicts of interest to its retail clients. The settlement will result in the establishment of a Fair Fund for distribution …

Staff Letter: Investment Company Institute
Securites Exchange Commission

Staff Letter: Investment Company Institute

Investment Company Act of 1940 – Section 22(e)Investment Company Institute June 1, 2018 Response of the Chief Counsel’s OfficeDivision of Investment Management Your letter dated May 30, 2018 requests our assurance that we would not recommend enforcement action to the Securities and Exchange Commission (the “SEC” ) against a registered …

Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

Bristol Group, Inc.

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Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

Biglari Capital LLC

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Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission

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 file annual reports on Form PF informing the agency about the private funds they …

Securites Exchange Commission | Press Releases
Securites Exchange Commission

George Doumanis

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Securites Exchange Commission | Press Releases
Securites Exchange Commission

Woojae (Steve) Jung

Litigation Release No. 24153 / May 31, 2018 Securities and Exchange Commission v. Woojae (Steve) Jung, No. 1:18-cv-04811 (S.D.N.Y. filed May 31, 2018) 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 …

Securites Exchange Commission | Press Releases
Securites Exchange Commission
Securites Exchange Commission | Press Releases
Securites Exchange Commission