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

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Client Alert: 2024 SEC Rulemaking Agenda (Updates)

Broker Dealer Enforcement: SEC Settles Charges Against Dually-Registered Broker-Dealer and Adviser

CFTC Charges Unregistered Commodity Pool Operator and Its Owner with Futures Fraud and Misappropriation

CFTC Permanently Revokes Registrations of Mississippi-based Commodity Trading Advisor and Associated Person

Market Manipulation: SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock

SEC Closing Regional Office: SEC to Close Salt Lake Regional Office

SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes

AI Compliance/Enforcement: SEC Charges Founder of AI Hiring Startup Joonko with Fraud

Accounting News: SEC Appoints Erica Y. Williams to a Second Term as PCAOB Chairperson

September 30, 2024

SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors

SEC Enforcement: Terraform and Kwon to Pay $4.5 Billion Following Fraud Verdict

SEC Charges Five Investment Advisers for Marketing Rule Violations

SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading

Client Alert: SEC Final Rule Adoption Exemption for Certain Investment Advisers Operating Through the Internet

SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet