IMDDA’S SECOND ANNUAL SURVEY ON SEXUAL HARASSMENT IN THE $95 TRILLION GLOBAL INVESTMENT MANAGEMENT INDUSTRY REVEALS PROGRESS IN UNCOVERING HARASSMENT, BUT CHALLENGES REMAIN 

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On December 4, 2019, the Securities and Exchange Commission, (the “SEC” or “Commission”) filed a complaint against the defendants SBB Research Group, LLC (“SBB”), a registered investment adviser to several private investment funds (the “Funds”), Samuel Barnett (SBB’s owner and Chief Executive Officer (“CEO”) and Matthew Aven (SBB’s Chief Operations Officer (“COO”).

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SEC Sanctions Fund

Nov 13, 2019 9:46:49 AM

On November 6, 2019, the SEC announced an action against Investment Adviser BOLTON SECURITIES CORPORATION, dba BOLTON GLOBAL ASSET MANAGEMENT, for failing to disclose material conflicts of interest related to mutual fund 12b-1 fees and principal trading compensation generated from client investments. A Jury Trial is being demanded.

Convergence will supply its E-Risk Report, which gives insight into the high-risk business conditions that likely to have set the stage for the SEC actions, free to anyone that inquires. Report release, November 18th.

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