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

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Former Financial Advisor Charged with Stealing $5.8 Million from Client

SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts

SEC Proposes to Enhance Private Fund Investor Protection

SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

SEC Proposed Changes to Two Whistleblower Program Rules

SEC Charges Robo-Adviser with Misleading Clients

SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations

City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest

$4.7 Million Fine: SEC Charges Venture Capital Fund Adviser with Misleading Investors

SEC Charges Previously-Barred Investment Adviser with Fraud

SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos

SEC Awards More Than $3.5 Million to Whistleblower

SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

SEC Awards Approximately $14 Million to Whistleblower