News & Analysis as of

Investment Adviser Fraud Settlement

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for May 2025

On May 14, 2025, Deputy Enforcement Director Antonia Apps told those gathered at an anti‑money laundering conference in Washington, D.C. to expect a more measured approach from SEC Enforcement. That may include, she...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Alston & Bird

The Latest in the SEC’s Off-Network Communications Enforcement Sweep

Alston & Bird on

On September 29, 2023, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment...more

Foley & Lardner LLP

Helping your family (even a little) is a violation of the Advisers Act?

Foley & Lardner LLP on

Is an “Ask” a Violation of the Advisers Act? Yes, it can be a violation to “put in a good word” for one of your family members. On January 5, 2023, the Securities and Exchange Commission (the SEC) entered into an Offer of...more

Katten Muchin Rosenman LLP

SEC Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment offering....more

BakerHostetler

Best Practices for Investment Advisers on Trade Execution: An Analysis of Two Recent SEC Settlements

BakerHostetler on

On July 31, 2013, the U.S. Securities and Exchange Commission (SEC) announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled...more

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