SEC Charges Former Adviser Over $2 Million Fraud Scheme

October 27, 2023

SEC Announces Top Exam Priorities for 2024

October 17, 2023

SEC Obtains Restraining Order and Asset Freeze Related to $130 Million Scheme

October 17, 2023

SEC Bars Former Adviser Convicted of Racketeering and Exploiting a Vulnerable Senior

October 16, 2023

Former LPL Advisor Sentenced to 15 Years in Prison for Fraud

October 9, 2023

SEC Fines 10 Firms a Combined $79 Million in Ongoing Crackdown on Private Electronic Communications

October 2, 2023

SEC Charges Investment Adviser and Affiliates with Real Estate Fund Fraud

September 29, 2023

SEC Fines RIA $18 Million for Failing to Disclose Cash Sweep Conflicts

September 28, 2023

SEC Charges “Cash Flow King” Podcaster with Perpetrating $11 Million Ponzi Scheme

September 27, 2023

U.S. Supreme Court to Decide Legality of SEC In-House Enforcement

July 3, 2023

Court Reaches Final Judgment Against Sponsor of OZ Investment Scheme

May 8, 2023

U.S. Supreme Court Allows Defendants to Challenge SEC and Other Federal Agency Enforcement Actions in U.S. Courts

April 17, 2023

Ohio-Based Financial Managers Indicted for Defrauding Investors of $72 Million

April 14, 2023

SEC Charges Broker with Defrauding Investor of Millions

March 30, 2023

SEC Obtains Final Judgement Against Former LPL Advisor Who Defrauded Clients of $2.9 Million

March 29, 2023

SEC Charges Financial Advisor for Defrauding NBA Players

March 27, 2023

SEC Petitions Supreme Court to Decide Authority of Administrative Law Courts

March 13, 2023

Unregistered Investment Advisor Uses KPMG as Cover for Fraud Scheme

January 27, 2023

Investors File Lawsuit Against National Realty Investment Advisors for “Ponzi-Like Fraud”

January 10, 2023

SCOTUS Appears Sympathetic to SEC Challenges

November 9, 2022