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

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SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct

SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme

SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading

SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients

FinCEN Issues Initial Beneficial Ownership Information Reporting Guidance

SEC Charges Father and Son Financial Advisory Duo (Litigation Release No. 25655)

SEC Charges Recidivist with Stealing $5.2 Million from Investors

SEC Charges Investment Adviser Hite Hedge Asset Management LLC with Violating a Trading Rule

SEC Charges Darius Karpavicius in $4 Million Offering Fraud for Operating TBO Capital Group and Gray Capital Group

SEC Charges Investment Adviser with Defrauding Clients in Connection with Annuity Sales

SEC Obtains Final Judgment Against Former CFO Charged with Fraud and Lying to Auditors

SEC Charges Investment Adviser Candlestick Capital Management LP with Violating a Trading Rule

How Cybersecurity Protects Valuation: Considerations for Private Equity in the Deal Lifecycle

SEC Proposes Changes to Trio of Cybersecurity Rules

CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation