SEC Charges San Diego Firm, Execs in Kickback Scheme
SEC charged a San Diego-based investment advisory firm, two executives and another employee for misleading investors and breaching their fiduciary duties.
Phony Advisor in Hawaii Used Twitter to Bilk Clients: SEC
The SEC says a 27-year-old Honolulu woman attracted about $250,000 to her schemes via Twitter, Facebook and other websites.
SEC Names Goodman National Associate Director of BD Exams
The SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
Ex-KPMG Partner Accused of Trading Insider Tips for ‘Bags of Cash and a Rolex’
The SEC on Thursday charged the former partner in charge of KPMG’s Pacific Southwest audit practice and his friend with insider trading.
New Hire Roundup: Benartzi to Serve as Achaean Academic Advisor
This week in new hires, Achaean Financial announced that Professor Shlomo Benartzi would become its first academic advisor, and Michele Wein Layne was named regional director of the SEC’s Los Angeles regional office.
SEC Charges Former CalPERS CEO With $20 Million Fraud
The SEC alleges that former CalPERS CEO Federico R. Buenrostro and his friend Alfred J.R. Villalobos fabricated documents given to New York-based private equity firm Apollo Global Management.