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Is it Time to Test Your Recordkeeping and Code of Ethics? | Royer Cooper Cohen Braunfeld LLC

Washington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve...

They're coming for the RIAs: Latest SEC messaging sting nabs small firm

SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

SEC.gov | SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

SEC charges advisory firm Senvest Management with recordkeeping and other failures

The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications.

SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

Houston man pleads guilty to using wife's job with BP to make $1.76 million in illegal stock profits – Houston Public Media

Tyler Loudon, 42, faces up to five years in federal prison and a potential fine up to $250,000 after pleading guilty to federal securities fraud.

Man's Wife Leaves After He Made $1.7M Using Info Heard on Her WFH Calls

The Texas man's wife worked from home as a mergers and acquisitions manager for BP.

Husband makes Rs 14 crore profit in stock trading by eavesdropping on wife's WFH calls

Tyler Loudon, 42, pleaded guilty to securities fraud in Houston federal court and has agreed to hand over the $1.7 million in ill-gotten gains he raked in.

SEC.gov | SEC Charges Husband of Energy Company Manager with Insider Trading