The SEC found that Warwick, Capital Management, Inc. and Lawrence willfully violated Sections 203A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 by reporting inflated assets under management and performance returns in Forms ADV filed with the SEC and to database services and by maintaining Warwick's Commission registration while having less than the required $25 million of assets under management. The SEC imposed cease-and-desist orders against the firm and barred its president from association with any investment adviser.

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