Stay up-to-date on recent enforcement actions, alerts, and regulatory news.

SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings

October 17, 2023

SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts

October 17, 2023

SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds

October 17, 2023

SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties

September 26, 2023

Deutsche Bank Subsidiary DWS to Pay $25 Million for AML Violations and Misstatements Regarding ESG Investments

September 26, 2023

SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme

September 26, 2023

SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations

September 26, 2023

Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data

September 26, 2023

SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors

September 21, 2023

SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names

September 21, 2023

SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community

September 21, 2023

SEC Approves Revised Privacy Act Rule

September 21, 2023

SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official

September 21, 2023

SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting

September 21, 2023

SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule

September 21, 2023