Enforcement

34-89025
34-89024
Order Determining Whistleblower Award Claim
Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
Order Determining Whistleblower Award Claim
Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
Judgment
Judgment
Judgment
Judgment
Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Awards Record Payout of Nearly $50 Million to Whistleblower
SEC Amended Complaint
SEC Complaint
34-89005
34-89006
LR-24826
34-89013
34-89009
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
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Judgment
SEC Second Amended Complaint
SEC Amended Complaint
Judgment
Judgment
LR-24825
34-88998
SEC Orders Investment Adviser to Return Funds to Public Pension and Employee Benefit Plan Clients Harmed by Share Class Selection Disclosure Violations
Judgment
Judg05-cv-06121Levine
Judgment
Judgment
Judgment
Judgment
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Judgment
Judgment
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SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
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Judgment
Judgment
Judgment
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Judgment
AP-6763
33-10789
34-88991
SEC Amended Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment

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