SEC Wins $1.18M Default Judgment Over Fabricated Form ADV Disclosures

July 1, 2026

Phoenix American Hospitality, President to Pay $709,352 in SEC Hotel Fund Fraud Settlement

June 17, 2026

SEC Charges Texas Man With $12.3 Million Crypto Trading Fraud

May 29, 2026

SEC Settles With Alabama Adviser Over Failed Oversight in $2.6M GraySail Fraud

May 22, 2026

SEC Charges Advisory Firm Navy Capital With Misrepresenting Its AML Procedures to Investors

January 14, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures

December 15, 2024

SEC Charges Invesco Advisers for Misleading Statements About ESG Integration

November 12, 2024

SEC Charges Rimar Capital and Execs With ‘AI Washing’ in Fraudulent Investment Scheme

October 14, 2024

SEC Charges Broker-Dealer First Horizon With Reg BI Violations

September 23, 2024

SEC Slaps Credit Rating Agencies With Fines Totaling $49 Million in Ongoing Crackdown on Private Electronic Communications

September 4, 2024