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

Deutsche Bank Securities Agrees to $4M Settlement for Untimely SARs Reporting

December 26, 2024

SEC Adopts Amendments to Broker-Dealer Customer Protection Rule

December 26, 2024

SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures

December 15, 2024

SEC Charges L.A.-Based Individuals With Multimillion Dollar Fraud of at Least 40 Investors

December 12, 2024

SEC Charges Trio With Impersonating Advisers in Fraud Targeting Retail Investors

December 11, 2024

Former Western International Broker Settles SEC Charges for $2.1 Million

December 11, 2024

SEC Fines Unregistered Rep for Role in $122 Million Oil & Gas Scheme

December 10, 2024

SEC Fines Morgan Stanley $15 Million for Enabling Millions in Adviser Theft

December 9, 2024

Trump Taps Finance Vet for Social Security, Names First AI/Crypto Czar

December 9, 2024

Trump Nominates Crypto Enthusiast Paul Atkins to Lead SEC

December 4, 2024

SEC Announces Record Year for Enforcement Dollars, Updates PAUSE List

December 2, 2024

Wisconsin Court Orders Catalyst Portfolio Manager to Pay $11.2 Million

November 25, 2024