An investment adviser settled SEC charges for failing to properly oversee a third-party contractor hired to remove, wipe and destroy decommissioned hardware containing customers' personal identifying information.
An investment adviser settled SEC charges for failing to timely pay back certain expenses through management fee offsets as well as related failures to disclose its practices to investors.
A brokerage firm settled SEC charges for supervisory failures related to a registered representative's misappropriation of an elderly client's funds.
An aircraft industry company settled charges for making material misleading statements to the public regarding a recently developed airplane model's safety.
An investment adviser settled SEC charges for failing to comply with the independent verification requirement for client assets over which the adviser was deemed to have custody.