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

January 13, 2021

SEC Adopts Modernized Marketing Rule for RIAs

December 23, 2020

SEC Charges RIAs and Broker-Dealers over Improper ETP Sales

November 16, 2020

SEC and FINRA to Host Online Forum on Regulation Best Interest Implementation

October 19, 2020

SEC Proposes Exemption for Unregistered “Finders” Assisting Small Businesses with Capital Raising

October 12, 2020

SEC Charges John McAfee and Bodyguard with Fraudulently Touting ICOs

October 6, 2020

SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7 Million from Clients

October 5, 2020

SEC and FINRA to Hold Roundtable on Regulation Best Interest and Form CRS

September 29, 2020

SEC Charges Former Transamerica Broker with Defrauding Retail Investors

September 21, 2020

SEC Charges Rapper T.I., Film Producer and Others for Promoting Fraudulent ICOs

September 14, 2020

Former SEC Examiner/GPB Executive Pleads Guilty to Misdemeanor Theft of Government Property

September 9, 2020

SEC Charges Former RIA Principal with Data Manipulation and Valuation Fraud

August 12, 2020

SEC Charges Former Broker Using SEC Letterhead with Defrauding First Responders and Others

August 3, 2020

SEC Files Fraud Charges Against Co-Founder of IIG

July 21, 2020

Ray Lucia Settles with SEC, Ending Nearly Decade-Long Saga

June 18, 2020

SEC Charges Former Raymond James Broker for Allegedly Stealing $1 Million from Seniors

June 15, 2020

SEC Obtains Judgment Against Investment Adviser Charged with Fraud

June 9, 2020

SEC Bars Former LPL Broker

June 4, 2020

SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct

May 26, 2020

SEC Charges Three Texans for Offering and Selling Fraudulent Oil and Gas Investments

May 19, 2020