SEC Charges Prosperity Investments in Ponzi Scheme Targeting Nigerian Americans

January 23, 2024

Medsis to Pay Over $15 Million in Securities Offering Fraud

January 18, 2024

SEC Takes Action to Halt Alleged $130M Fraud Targeting Indian American Community

January 9, 2024

FINRA Seeks to Strengthen Rules on Broker/Client Lending

January 8, 2024

SEC Obtains Asset Freeze Amidst $93 Million Real Estate Investment Fraud

January 4, 2024

The SEC on Trial: Reining in Unchecked Power

January 2, 2024

FINRA’s Legality, Billion-Dollar Fraud Trials: Securities Cases to Watch in 2024

January 2, 2024

SEC Obtains Temporary Restraining Order Against Alleged Arizona Fraudster Jonathan Larmore

December 27, 2023

SEC Censures and Fines Laidlaw for Reg BI Violations

November 21, 2023

SEC Reports Record Enforcement Results for Fiscal Year 2023

November 15, 2023

SEC Charges Former Adviser Over $2 Million Fraud Scheme

October 27, 2023

SEC Announces Top Exam Priorities for 2024

October 17, 2023

SEC Obtains Restraining Order and Asset Freeze Related to $130 Million Scheme

October 17, 2023

SEC Bars Former Adviser Convicted of Racketeering and Exploiting a Vulnerable Senior

October 16, 2023

The Wellington Group and TrustWealth Strategies Merge; Combine $750 Million in Assets

October 4, 2023

SEC Fines 10 Firms a Combined $79 Million in Ongoing Crackdown on Private Electronic Communications

October 2, 2023

SEC Charges Investment Adviser and Affiliates with Real Estate Fund Fraud

September 29, 2023

SEC Fines RIA $18 Million for Failing to Disclose Cash Sweep Conflicts

September 28, 2023

SEC Charges “Cash Flow King” Podcaster with Perpetrating $11 Million Ponzi Scheme

September 27, 2023

SEC Collects Wall Street’s Private Messages as WhatsApp Probe Escalates

September 26, 2023