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

NFA orders Houston, Texas introducing broker Empire Energy Group LLC never to reapply for NFA membership

November 19, 2022

CFTC Penalizes and Permanently Bans Texan from Trading and Registration for Virtual Currencies Fraud

November 19, 2022

CFTC Charges Former Energy Broker with Paying Brokerage Kickbacks and Misappropriating Nonpublic Information

November 19, 2022

SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud

November 19, 2022

SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community

November 19, 2022

SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers

November 19, 2022

Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations

November 19, 2022

SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role

November 19, 2022

SEC Charges S&P Global Ratings with Conflict of Interest Violations

November 19, 2022

SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades

November 19, 2022

SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings

November 19, 2022

SEC Announces Enforcement Results for FY22

November 19, 2022

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

October 26, 2022

Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over $1 Billion

October 26, 2022

CFTC Staff Issues No-Action Letter to Korea Exchange, Inc. Concerning the Offer or Sale of KOSPI and Mini KOSPI 200 Futures Contracts

October 26, 2022