SEC Orders Firms to Pay $3.4 Million in Penalties for Forms 13F, 13H Reporting Failures

September 23, 2024

SEC Fines Macquarie RIA Subsidiary $80 Million for Overvaluing Assets and Engaging in Unlawful Cross Trades

September 20, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

SEC Crackdown on Off-Channel Communications Continues With Charges Against 12 More Adviser Firms

September 18, 2024

SEC Settles Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity

September 13, 2024

SEC Charges Tennessee RIA and Its Owner With Religious Affinity Fraud

September 11, 2024

SEC Settles Charges Against Nine RIAs for Marketing Rule Violations

September 10, 2024

SEC Settles Charges Against Crypto-Focused Galois for Custody Failures, Inconsistent Redemption Practices

September 6, 2024

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

September 5, 2024

SEC Slaps Credit Rating Agencies With Fines Totaling $49 Million in Ongoing Crackdown on Private Electronic Communications

September 4, 2024

SEC Charges Californian With Operating Ponzi Scheme Targeting the Filipino-American Community

September 4, 2024

SEC Charges Purported Investment Adviser With Making Document Misrepresentations

September 3, 2024

Treasury Unveils Final Anti-Money Laundering Rules for RIAs

August 29, 2024

SEC Charges China-Based QZ Asset Management and CEO in Multimillion-Dollar Fraud Scheme

August 29, 2024

SEC Charges Brothers With $60 Million Crypto-Based Ponzi Scheme

August 27, 2024

Blackstone Registers New Interval Fund Focused on Private Credit With the SEC

August 26, 2024

SEC Concludes Its Investigation of Silver Star Properties REIT

August 23, 2024

SEC Charges CEO and Convicted Felon Spouse in $56 Million Ponzi Scheme, Obtains Emergency Relief

August 21, 2024

Billionaire Carl Icahn Pays $2 Million to Settle SEC Investigation

August 19, 2024

Ameriprise, Edward Jones, and LPL Among 26 Firms Fined More Than $390 Million by SEC for Recordkeeping Failures

August 15, 2024