The SEC’s Recent Risk Alert Is a Wake-Up Call for New Entrants to the Registered Fund Space: Don’t Fight the ’40 Act!

February 27, 2025

Never Alone, Never Legit? SEC Charges Fraudster in $4M Investment Scheme

February 26, 2025

SEC Obtains Final Judgement in $67 Million Mortgage and Ponzi Scheme

February 23, 2025

SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors

February 20, 2025

Final Judgments Issued Against Recidivist, Companies in Fraud Scheme

February 20, 2025

JPMorgan Chase Prepares to Launch Its First Interval Fund

February 18, 2025

SEC Charges One Oak Capital and Rep With Breaching Fiduciary Duties

February 17, 2025

Staying Compliant: Keeping Up With Off-Channel Communications

February 13, 2025

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

February 10, 2025

SEC Committee to Continue Discussing Challenges Facing Emerging Fund Managers

January 30, 2025

Acting SEC Chair Uyeda Announces Formation of Crypto Task Force

January 21, 2025

Trump’s Second Term: What Might We Expect?

January 21, 2025

SEC Charges Arete Wealth Broker-Dealer, Advisory Firms, CCO in Connection With Illegal Securities Offering

January 21, 2025

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

January 20, 2025

Ashford to Settle Negligence-Based Charges for Misleading Investors Regarding Cyber Incident

January 15, 2025

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

January 14, 2025

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

January 14, 2025

Blackstone, Apollo, KKR, and Schwab Among 12 Firms to Pay $63M Combined for Electronic Recordkeeping Failures

January 13, 2025

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

January 13, 2025

SEC Charges Recidivist for Defrauding Investors Via False, Misleading Statements

January 5, 2025