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

CFTC Releases Annual Enforcement Results

October 26, 2022

CFTC Orders Wisconsin Broker to Pay Over $750,000 for Improper Trade Allocation and Additional Violations

October 26, 2022

Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA

October 26, 2022

SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security

October 26, 2022

SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments

October 26, 2022

SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements

October 26, 2022

New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud

October 26, 2022

CCO Alert: Cybersecurity Awareness Month October 2022

October 1, 2022

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million

October 1, 2022

SEC Proposes to Enhance Private Fund Reporting

October 1, 2022

SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees

October 1, 2022

SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest

October 1, 2022

SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

October 1, 2022

SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability

October 1, 2022

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law

October 1, 2022