The Consolidated Audit Trail Has a Long Memory

September 21, 2026

Texas Issues Emergency Order Against Lasater Capital Over Concealed $100M in Loan Defaults

June 10, 2026

The SEC Wants More Companies to Go Public. Fixing Registered Offerings Is How It Starts.

June 4, 2026

SEC Proposes Federal Preemption of State Merit Review for Nontraded REITs and BDCs

May 19, 2026

FSI Letter Urges SEC to Reform Enforcement Practices, Citing ‘Regulation by Enforcement’ Risks

November 11, 2025

Financial Deregulation: A False Sense of Securities

June 14, 2025

The Emoji Challenge: Decoding Digital Intent in Compliance Supervision

March 24, 2025

Settlement Reached in Case of Former Morgan Stanley Adviser Who Defrauded Elderly

January 24, 2024

Center Street Securities Shutting Down

December 1, 2023

SEC Reports Record Enforcement Results for Fiscal Year 2023

November 15, 2023

Michigan RIA Files Lawsuit Over Trademark of Altruist Name

August 14, 2023

Former LPL Advisor Sentenced to 54 Months in Prison

August 11, 2023

FINRA Bars Former Raymond James Broker; Fines and Suspends LPL Brokers

August 10, 2023

SEC Charges Former Cetera Rep with Defrauding Elderly Investor of $2.4 Million

August 1, 2023

FINRA Censures and Fines Concorde Investment Services Over Improper Private Placement Sales

July 31, 2023

FINRA Censures and Fines LPL Financial $3 Million

July 27, 2023

SEC Obtains Final Judgments Against Ponzi Scheme Operators

July 25, 2023

SEC Resolves “Saivian” Ponzi Scheme

July 24, 2023

FINRA Orders Worden Capital to Pay $1.6 Million for Unsuitable REIT Investments

July 21, 2023

SEC Settles Fraud Charges Against SPAC That Plans to Merge with Trump Media

July 21, 2023