enforcement

GSAM settles SEC greenwashing allegations Fallback Image Decorative pattern

Industry

GSAM settles SEC greenwashing allegations

Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies

By James Langton |November 22, 2022

2 min read

SEC charges brokers over unregistered penny stock trades Fallback Image Decorative pattern

Industry

SEC charges brokers over unregistered penny stock trades

Side business allegedly enabled billions of stock trades

By James Langton |November 18, 2022

1 min read

SEC enforcement reaches record heights Fallback Image Decorative pattern

Industry

SEC enforcement reaches record heights

Volume of disciplinary actions and total financial sanctions rose in fiscal 2022

By James Langton |November 15, 2022

2 min read

Former fund rep sanctioned over clients’ estate disclosures Former fund rep sanctioned over clients’ estate disclosures

Estate Planning

Former fund rep sanctioned over clients’ estate disclosures

Potential conflicts involving clients' wills weren't reported to dealer

By James Langton |November 14, 2022

1 min read