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SECURITIES AND EXCHANGE COMMISSION v. AMBASSADOR ADVISORS, LLC et al
Case Number:
5:20-cv-02274
Court:
Nature of Suit:
Other Statutes: Securities/Commodities
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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September 07, 2022
Adviser Must Pay SEC $2M After Passing On Self-Reporting
A Pennsylvania federal judge on Wednesday ordered an investment advisory firm and three of its owners and officers to pay a combined $2 million to resolve an enforcement action from the U.S. Securities and Exchange Commission over the firm's mutual fund selection disclosures, but he declined to impose other sanctions he deemed to be overly punitive.
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May 14, 2020
SEC Sues Adviser That Passed On Its Self-Report Program
A Pennsylvania investment adviser hit with an SEC enforcement action on Wednesday over its mutual fund selection disclosures could have self-reported its practices but declined to do so, according to the agency.