IAA 1940 Rule 203(e)
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SEC fines Momentum Advisors, two officers $500,000+ over fiduciary breaches
Momentum Advisors LLC, along with its former COO and CCO, were charged with violations related to the misuse of portfolio company assets.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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BlackRock charged for inaccurate description of entertainment investments
BlackRock inaccurately described investments in the entertainment sector in public filings.