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@FortWorth_SEC

The SEC Fort Worth Office covers Texas, Okla., Ark., Kan. Have a tip, referral, or complaint? Submit here: Follow for more.

Fort Worth, TX
sec.gov
Joined July 2014
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  1. 4 hours ago

    Gerald Hodgkins, Associate Director of the SEC’s Enforcement Division, will leave the Commission after 20 years of service. ENF Co-Director Avakian: “Jerry embodies what it means to be a dedicated public servant.”

    1 like
  2. 7 hours ago

    2/2 IM Director Dalia Blass: “[D]isclosure should help investors make informed investment decisions. That means it needs to be clear, digestible and designed to help investors quickly find useful information.”

  3. 7 hours ago

    1/2 IM Director Dalia Blass: “Investors are flooded with information about funds and advisers, and I believe there are opportunities to make that information work better for them.”

  4. 9 hours ago

    The SEC Docket provides an ongoing serial record of SEC regulatory and enforcement releases. Here’s where you can find it:

    1 like
  5. 10 hours ago

    Newest AMU/FWRO case: Cease & desist order + $12M in disgorgement/interest/penalty against TPG Capital Advisors, LLC, for allegedly taking accelerated monitoring fees from fund portfolio companies without adequate disclosure or consent from the funds’ LPs.

    2 retweets 2 likes
  6. 11 hours ago

    Friday musing: Are Santa’s helpers subordinate clauses?

    1 reply 10 retweets 22 likes
  7. Dec 21

    The SEC archives Commission speeches and public statements. We’ve got ’em on the site since 1929. No joke.

    1 reply 1 like
  8. Dec 21

    Charges and an asset freeze against a group of unregistered funds & their owner who allegedly bilked thousands of retail investors, many of them seniors, in a $1.2B Ponzi scheme.

    1 reply 3 retweets 6 likes
  9. Dec 21

    Follow because we’d never call a hot dog a sandwich.

    8 likes
  10. Dec 21

    At this time of year, we like to have our Eggs Benedict served to us on a hubcap. Because there’s no plate like chrome for the Hollandaise.

    7 replies 34 retweets 51 likes
  11. Dec 21

    So when does winter hibernation start? We’re ready.

    9 likes
  12. Dec 20

    Charges against Wall Street stockbroker for illegally accepting $1M+ in undisclosed kickbacks for giving certain customers preferential access to lucrative IPOs.

    1 like
  13. Dec 20

    Revision: Breaking news! SEC signs Marc Berger in New York.

    1 retweet
  14. Dec 20

    Marc P. Berger – a Cornellian and a former AUSA – named Director of the New York Regional Office. Congratulations, Marc!

    1 reply
  15. Dec 20

    Here’s how to get in touch with us now: Or, if you’re contacting use from the early 2000s, here’s our fax number:

    1 reply 2 retweets 5 likes
  16. Dec 20

    We just listened to “Come Together.” Run that guy’s description past us one more time?

    1 retweet 3 likes
  17. Dec 20

    Commissioner Stein: “I would suggest that disclosure is just one piece of an important & complicated puzzle. It cannot be the only step we take when addressing conflicts of interest between a financial professional and his or her customer.”

  18. Dec 19

    Call of Jury Duty. Sonic the Hedge Fund. Personal Space Invaders.

    2 replies 5 retweets 17 likes
  19. Dec 19

    It’s unusual that there is an “L” in noel. We thought there was no el.

    1 reply 7 retweets 11 likes
  20. Dec 19

    Investor Bulletin: Investment adviser sponsored wrap fee programs.

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