SEC Orders Adviser to Pay More than $170,000 for Failing to Supervise Representative Who Cherrypicked Investments

The SEC has ordered investment adviser Canterbury Consulting, Inc. (“Canterbury,” “Adviser”) to pay disgorgement, prejudgment interest, and a civil penalty in amounts totaling $172,986.00. The SEC’s order stems from Canterbury’s... [...]

The SEC has imposed a $75,000 civil penalty against SIX Financial Information USA Inc. (“SFI”) for misrepresenting the methodology it used to value European OTC Call Options for its client.... [...]