Lodging Fund REIT III Discloses SEC Inquiry

April 6, 2021

SEC Charges Adviser with Defrauding Advisory Clients and Pro Athletes

April 1, 2021

SEC Bars Advisor Who Pled Guilty to Defrauding Clients Out of $2.3 Million

March 23, 2021

SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million Ponzi Scheme

February 23, 2021

SEC Bars Longtime Broker Sentenced to 170 Months in Prison

February 19, 2021

SEC Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million from Clients

February 10, 2021

SEC Charges GPB With Running “Ponzi-Like Scheme,” Violating Whistleblower Laws

February 5, 2021

Biden Names Acting Chair of the SEC

January 25, 2021

Biden to Name MIT Professor and Former CFTC Chairman to Head SEC

January 13, 2021

SEC Obtains Asset Freeze Against California Couple to Stop Alleged Investment Fraud

January 12, 2021

SEC Charges Utah Company, its Principals, and Two Recidivists with Securities Fraud

January 11, 2021

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

January 6, 2021

SEC Charges New York Man with Defrauding Police and Firefighters in Ponzi Scheme

January 4, 2021

Voya to Pay $23 Million to Settle SEC Charges

December 28, 2020

SEC Adopts Modernized Marketing Rule for RIAs

December 23, 2020

SEC Updates Fund Valuation Practices

December 4, 2020

SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi Scheme

November 30, 2020

SEC Charges Fugitive Atlanta Adviser with Fraudulent Securities Offering

November 17, 2020

SEC Charges RIAs and Broker-Dealers over Improper ETP Sales

November 16, 2020

SEC Obtains Final Judgment Against Former Apollo Partner Who Defrauded Fund Clients

November 10, 2020