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SEC hits advisors and brokers in $6 5 billion record year for penalties

Agency's critics say many companies still see their settlements as a cost of doing business.

United statesHenry buckmanBill singerGurbir grewalScott adam branderExchange commissionMorgan stanleyInternational securitiesErnst youngGoldman sachsFinancial servicesBuckman advisory groupLittle silverNew jersey basedAdvisory groupRegulation best

SEC Sues and Settles Claim Against Investment Adviser Representative For Cherry-Picking Scheme After Entry of Cease and Desist Order Against the Investment Adviser | Goodwin

On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”).

New yorkUnited statesNew jerseyHenry buckman jrScott branderElon muskPeiter mudge zatkoHarry buckman jrBuckman advisory groupUs district courtOppenheimer coExchange commissionDelaware courtSecurities exchangeSecurities actSecurities exchange act

Florida Rep to Pay $1 2M to Settle SEC ETF Cherry-Picking Charges

The SEC settled charges with an IAR and his former firm, alleging the rep cherry-picked trades in certain leveraged ETFs at the expense of clients.

New jerseyUnited statesHenry buckmanCaroline crenshawScott adam branderExchange commissionFinancial industry regulatory authorityBuckman advisory groupNew jersey basedRegulation best interest

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