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

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SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media

SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid

SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors

SEC Adopts Amendments to Enhance Disclosure of Order Execution Information

SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition

SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community

SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence

Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges

SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel

February 27, 2024

Client Alert: FINRA Publishes 2024 Regulatory Oversight Report

February 8, 2024

Broker Dealer Alert: Major Violations of FINRA Rule 2210

February 8, 2024

SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund

February 8, 2024

SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud

February 8, 2024

SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel

February 8, 2024