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

SEC Approves New and Updated PCAOB Audit Standards and an Amendment to the PCAOB’s Contributory Liability Rule

September 12, 2024

SEC Charges Carl Icahn and Icahn Enterprises L.P. for Failing to Disclose Pledges of Company’s Securities as Collateral for Billions in Personal Loans

September 12, 2024

SEC Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud

August 15, 2024

SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme

August 15, 2024

SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities

August 15, 2024

SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud

August 15, 2024

SEC Proposes Joint Data Standards Under the Financial Data Transparency Act of 2022

August 15, 2024

SEC Charges Ideanomics and Three Senior Executives with Accounting and Disclosure Fraud

August 15, 2024

SEC Charges NovaTech and its Principals and Promoters with $650 Million Crypto Fraud

August 15, 2024

SEC Meetings and Other Event: Aug 20, 2024 Open Meeting

August 15, 2024

SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports

August 15, 2024

SEC Charges Russell Todd Burkhalter and His Atlanta-Based Firm With $300 Million Ponzi Scheme and Obtains Emergency Relief

August 15, 2024

Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures

August 15, 2024

Mid-Year Compliance Reminder: Fiscal Year 2024 SEC Examination Priorities

July 25, 2024

FINRA Enforcement: FINRA Appoints Julie Glynn and Tina Gubb as SVPs of Enforcement

July 25, 2024