![]() ![]() Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud Headline: SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities Headline: SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement ![]() Headline: SEC Charges Stockbroker and Friend with Insider Trading Headline: SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme Headline: SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Headline: SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Headline: SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule Headline: SEC Awards Whistleblower More Than $9 Million for Operating an Unregistered Securities Exchange Headline: SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities Headline: SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors Headline: SEC, NASAA, and Wisconsin DFI to Host Investor Roundtable in Madison, Wisconsin on July 25 ![]() Cassidy Interim Acting Co-Directors of the Division of Examinations Headline: SEC Names Natasha Vij Greiner and Keith E. Lewis and Associates with Insider Trading Headline: SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Headline: SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Headline: SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members Headline: SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading Headline: SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants Headline: SEC Awards More Than $104 Million to Seven Whistleblowers Headline: Fund Administrator Charged For Missing Red Flags Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures Headline: Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency Headline: Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations Headline: SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction Headline: SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership Headline: SEC Enhances the Regulation of Private Fund Advisers Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal Headline: SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel Headline: SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary Headline: SEC Awards Whistleblower More Than $18 Million Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024 Impact Theory for Unregistered Offering of NFTs Headline: SEC Charges LA-Based Media and Entertainment Co. Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports with Recordkeeping Failures concerning Underwriting Expenses Headline: SEC Charges Citigroup Global Markets Inc. Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans ![]()
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