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

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SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations

SEC Charges Firm and Five Brokers with Violations of Reg BI

CFTC Charges Florida Man and His Two Entities for Operating a $3.4 Million Commodity Futures Fraud

CFTC Charges Florida Man with Fraudulent Solicitation of Over $800,000 and Misappropriation in Futures Scheme

CFTC Charges Gemini Trust Company for Making Material False or Misleading Statements and Omissions to the Commission

Email Surveillance: Smarsh's New CEO

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $15.2 Million in Restitution

Broker Dealers: Monthly Disciplinary Actions - May 2022

SEC Enforcement: Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees

SEC Charges Weiss Asset Management with Short Selling Violations

SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund

SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading Investors

SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser

SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names