We thank Kurt L. Gottschall, Director of the Denver Regional Office since 2018, for his outstanding 22 years of service. Mr. Gottschall is leaving the SEC in July. Jason J. Burt and Thomas M. Piccone will become the office’s Co-Acting Regional Directors.
The Division of Corporation Finance seeks to fill one Senior Officer – Associate Director of Risk and Oversight and Innovation (Program Management).
Apply here: go.usa.gov/xJHEe
This position is located in Washington, DC and is open to all US citizens.
The Division of Corporation Finance seeks to fill one Senior Officer – Associate Director of Risk & Oversight and Innovation (Attorney).
Apply here: go.usa.gov/xJHEv
This position is located in Washington, DC & is open to all US citizens.
Today we charged Ernst & Young for cheating by its audit professionals on exams required to obtain and maintain CPA licenses and for withholding evidence of this misconduct during the SEC’s investigation of the matter.
The Office of Commissioner-designate Uyeda is seeking applicants for Attorney-Adviser-Counsel.
This is a term position, not-to-exceed 1 year, with the possibility of extension & is open to all US citizens.
More here ⬇️
Application Deadline: July 7, 2022
Today, we adopted amendments to require certain documents filed by investment advisers, institutional investment managers, & certain other entities to be filed or submitted electronically. The amendments are intended to promote efficiency, transparency, & operational resiliency.
We charged Egan-Jones Ratings Co, a nationally recognized statistical rating org registered with the SEC, with violating conflict of interest provisions. We also charged the company’s founder & CEO, Sean Egan, with causing certain of those violations.
The SEC is proud to celebrate #Juneteenth & commemorate the emancipation of all Americans.
Juneteenth is an important time to reflect on the legacy of slavery & how we all have a part in building a more perfect union.
Today we charged Western International Securities, Inc. and five of its registered representatives with violating Regulation Best Interest when they recommended and sold unrated, high-risk L Bonds to retirees and other retail investors.
We are committed to helping prevent elder investor fraud.
We encourage you & your loved ones to visit investor.gov to find education resources & research brokers or advisers to find out if they are legitimate.
Today we charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond offering. For more:
Today we charged NJ-based investment adviser Energy Capital Partners Management LP (ECP) with allocating undisclosed expenses to a private equity fund it advises.
ECP agreed to pay a $1M penalty & has voluntarily paid back more than $3.3M to the fund.
Today we announced investment advisory firm Weiss Asset Management LP has agreed to pay approximately $6.9 million to settle charges that it violated the federal securities laws when it unlawfully purchased stock in seven public offerings after selling short those same stocks.
We announced insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection w/ the parent company’s $2B acquisition of Toronto-based Score Media & Gaming, Inc.
We charged 3 Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable to their clients.
The subsidiaries agreed to pay $187 million to harmed investors.
The Office of Security-Based Swaps within the Division of Examinations is filling one Attorney-Adviser, in the following locations: Chicago, IL or New York, NY or Washington, DC.
Interested applicants, apply here: go.usa.gov/xJKWj#SECGovJobs