SEC Fines Louisiana Man More Than $1.6M for Gift-Donation Scheme

February 10, 2025

FINRA Orders Broker to Repay $17M to Ex-Firm to Cover Settlement Payments

February 6, 2025

Gen AI, Reg BI Among New Topics in 2025 FINRA Regulatory Oversight Report

January 28, 2025

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

January 20, 2025

Court Appointee Recovers $3.8 Million in Ill-Gotten Gains From Florida Man’s Ponzi Scheme

January 14, 2025

FINRA Fines CIM Securities $70,000 for Multiple Securities Violations

January 9, 2025

SEC Charges Recidivist for Defrauding Investors Via False, Misleading Statements

January 5, 2025

Colorado-Based Investment Manager Accused of Misusing Opportunity Zone Funds

December 25, 2024

SEC Charges L.A.-Based Individuals With Multimillion Dollar Fraud of at Least 40 Investors

December 12, 2024

SEC Charges Trio With Impersonating Advisers in Fraud Targeting Retail Investors

December 11, 2024

Former Western International Broker Settles SEC Charges for $2.1 Million

December 11, 2024

SEC Fines Unregistered Rep for Role in $122 Million Oil & Gas Scheme

December 10, 2024

Independent Proxy Advisory Recommends NexPoint Nominees for UDF IV Board

December 9, 2024

Wisconsin Court Orders Catalyst Portfolio Manager to Pay $11.2 Million

November 25, 2024

SEC Charges Advisory Firm La Mancha and Its Owner With Fraud

November 21, 2024

New York Resident Claiming to Be Billionaire Agrees to Settle SEC Fraud Charges

November 21, 2024

Former Investment Adviser, Sentenced for Misappropriating Millions From Clients, Now Faces SEC Charges

November 7, 2024

SEC Charges Floridian With Operating $1.6 Million Ponzi Scheme Targeting Serbian-American Community

November 1, 2024

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

October 14, 2024

SEC Charges Trio in N.Y. Metropolitan Area for $120 Million Pre-IPO Fraud Scheme

October 1, 2024