Opinion: SEC & Regulatory Overreach – Nondelegation Doctrine

July 28, 2022

Equitable Financial to Pay $50 Million to Settle SEC’s Fraud Charges

July 22, 2022

Jaime Lizárraga Sworn in as SEC Commissioner

July 19, 2022

SEC Obtains Judgment Against Attorney Charged with Multi-Million Dollar Offering Fraud

July 15, 2022

SEC Charges Former LPL Broker with Stealing $1.7 Million from Retail Investors

July 5, 2022

Mark Uyeda Sworn in as SEC Commissioner

July 1, 2022

CFP Board Suspends Broker Accused of Violating Reg BI with Improper GWG Bond Sales

June 30, 2022

SEC Fines Ernst & Young $100 Million After Auditors Cheat on Ethics Exams, Mislead Investigation

June 29, 2022

SEC Alleges Western and Five Brokers Violated Reg BI with Improper GWG Bond Sales

June 17, 2022

SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

June 15, 2022

Schwab Subsidiaries to Pay $187 Million for Misleading Robo-Adviser Clients

June 14, 2022

Opinion: The SEC’s Tyrannical Gag Orders

June 8, 2022

SEC Charges EIA All Weather Alpha Fund with Fraud

May 27, 2022

SEC Proposes Enhancing Investment Company Act ‘Names Rule’

May 27, 2022

SEC Obtains Final Judgement Against Former RIA Exec Who Pled Guilty to Stealing from Firm

May 24, 2022

SEC Charges Wells Fargo Advisors with Anti-Money Laundering Violations

May 23, 2022

SEC Bars Adviser Accused of Defrauding Elderly Client

May 16, 2022

Investment Fund Manager Sentenced to Nine Years for $100 Million Securities Fraud

May 12, 2022

SEC Obtains Judgment Against Adviser Accused of Defrauding Elderly Client

May 10, 2022

Medley and Taube Brothers to Pay $10 Million for Misleading Investors and Clients

April 29, 2022