The network for financial advisors
The network for financial advisors
Login
Register
Resources
Practice
Portfolio
Industry
Voices
Search
Search
Practice
Portfolio
Industry
Voices
Resources
search goes here
Andrew J. Ceresney
Big data driving SEC focus on disclosures, recommendations and security
In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.
SEC: Supervisory failures in UBS’ $548M sale of complex product
The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.
How 13 firms got caught up in SEC sweep
These investment advisories paid the price for passing along performance data faked by a third-party manager.
What's next in the crosshairs for SEC enforcement chief?
In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.