Go to Wolters Kluwer VitalLaw.comGo to Wolters Kluwer VitalLaw.com
VitalLaw®
  • Find answers to your questions
  • Log in to access your subscriptions
In depth. On point.
In depth. On point.
  • Home
  • Legal Directory
  • Home
  • Legal Directory
In depth. On point.
  • Articles
    • Articles
  • Law Firms
    • Law Firms
  • Organizations
    • Organizations
    • COMMODITY FUTURES—U.S.: Former lawmakers, regulator weigh in on Dodd-Frank history and gaming oversight
    • ENFORCEMENT—S.D. Cal.: SEC charges Encinitas advisory firm and owner in alleged ‘cherry-picking‘ scheme
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • FRAUD AND MANIPULATION—D.D.C.: Defendant fakes C.P.A. credentials
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • INVESTMENT COMPANIES—SEC proposes to expand cross-trading rule for registered funds and affiliates
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • VITAL BRIEFING—Imports surge as trade deficit widens
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • WORTH NOTING—Other litigation, regulatory activity and industry news
      • You have 1 more complimentary views available this month. Log in if you are already a customer
  • Articles
    • Articles
  • Law Firms
    • Law Firms
  • Organizations
    • Organizations

    Securities Regulation Daily Wrap Up, ENFORCEMENT—S.D. Cal.: SEC charges Encinitas advisory firm and owner in alleged ‘cherry-picking‘ scheme, (Oct 9, 2026)

    Organizations Mentioned:Caris Investment Partners, Inc.

    By Kristin J. Angelino, J.D.

    Defendants were also charged with making related false statements to current and prospective clients.

    The SEC filed charges in the Southern District of California against Darren J. Caris and his investment advisory firm, Caris Investment Partners, Inc ...

    © 2026 CCH Incorporated and its affiliates and licensors. All rights reserved.

    • Manage Cookie Preferences
    • Privacy Statement
    • Terms of Use