IAA 1940 Rule 203(e) – Global Relay Intelligence & Practice

IAA 1940 Rule 203(e)

Enforcement

SEC fines Momentum Advisors, two officers $500,000+ over fiduciary breaches

March 12, 2025

Momentum Advisors LLC, along with its former COO and CCO, were charged with violations related to the misuse of portfolio company assets.

Alexander Barzacanos2 min read
Enforcement

SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder

September 25, 2024

The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.

Alexander Barzacanos, Julie DiMauro4 min read
Enforcement

BlackRock charged for inaccurate description of entertainment investments

October 26, 2023

BlackRock inaccurately described investments in the entertainment sector in public filings.

Julie DiMauro1 min read