SEC Charges Six Investment Advisers Over Form ADV Misrepresentations

November 17, 2025

SEC Charges Pennsylvania Man With Helming $770 Million ATM Ponzi Scheme

September 3, 2025

Private Fund, Retail Investors Caught in Alleged $275M Water Machine Investment Scheme

August 14, 2025

SEC Orders Online Lending Platform Founder to Pay $10.6M for Defrauding Investors

August 5, 2025

SEC Charges Georgia Lender, Owner With $140M Ponzi Scheme

July 10, 2025

Ex-Rubicon President Sentenced to Eight Years for $23M Fraud Scheme

June 28, 2025

SEC Charges Ex-CEO With Operating $46M Ponzi-Like Scheme Targeting Retirees

May 22, 2025

SEC Levels Fraud Charges Against Unicoin, Top Execs Over Alleged Crypto and Stock Schemes

May 21, 2025

SEC Charges Investment Adviser With $2.7M Fraud Targeting Korean-American Seniors

May 1, 2025

SEC Charges Pennsylvania Adviser With Misappropriating $20M-Plus From Clients

January 20, 2025

SEC Charges Recidivist for Defrauding Investors Via False, Misleading Statements

January 5, 2025

SEC Fines Macquarie RIA Subsidiary $80 Million for Overvaluing Assets and Engaging in Unlawful Cross Trades

September 20, 2024

SEC Crackdown on Off-Channel Communications Continues With Charges Against 12 More Adviser Firms

September 18, 2024

SEC Charges Tennessee RIA and Its Owner With Religious Affinity Fraud

September 11, 2024

SEC Charges Individual in Investment Scheme Targeting Haitian-American Community

June 17, 2024

SEC Fines 16 Firms $81 Million Over Off-Channel Communications

February 12, 2024

SEC Charges Advisory Firm and Executives with $75 Million Fraud

September 1, 2022

SEC Charges Recidivist Advisor in Alleged $1 Million Investment Fraud

September 30, 2020

SEC Charges Three Former RIA Employees with Attempting to Thwart Ponzi Investigation

March 18, 2020

SEC Charges Unregistered Broker Who Sold Woodbridge and 1 Global Fraudulent Securities

July 16, 2019