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SEC fines investment adviser Aon over a PSERS report that exaggerated profits

SEC fines investment adviser Aon over a PSERS report that exaggerated profits
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United statesClairep shaughnessyJoe torsellaPennsylvania public school employee retirement systemExchange commissionAon investments united states incAon investments united statesFinance abuse unitTreasurer joe torsellaRichard vaguePhiladelphia common pleas

Outlook: SEC in for a dizzying year

Outlook: SEC in for a dizzying year
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United statesBallard spahrDave sanchezTeri guarnacciaChris iacovellaGary genslerLeslie norwoodCompliance outreach programAmerican securities associationSupreme courtExchange commissionFinancial markets associationOffice of municipal securitiesRegulation bestMunicipal securitiesGovernment finance officer

Former Sterlington, Louisiana, mayor settles with SEC

Former Sterlington, Louisiana, mayor settles with SEC
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State of louisianaUnited statesVern brelandAaron fletcherExchange commissionOuachita correctional centerBond commissionLouisiana state bond commissionFormer sterlingtonTwin spires financialFinancial data transparencyLeeann gauntFinance abuse unitState bond commission

Exempt Reporting Advisers Faced Significantly More SEC Enforcements In 2022 - Securities

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 — that appears to be more than the prior three years.

New yorkUnited statesCity of new yorkSean wygovskyUniversity of californiaDivision of enforcementHighland capital partnersAlumni ventures groupHelikon investments ltdFormula growth ltdCorona associates capital managementCanaan managementSparklabs global ventures managementEnergy innovation capital managementExchange commissionBradway capital management

Former mayor charged by SEC denies wrongdoing

Vern Breland is representing himself, and told a court he relied on his municipal advisor.

United statesVern brelandAaron fletcherExchange commissionLouisiana state bond commissionTwin spires financialTwin spiresAnn ghazil gauntFinance abuse unitOuachita citizenWashington dcSecurities lawSec enforcementState of louisianaMunicipal advisors