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

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SEC Charges Alan Burak, Founder of Never Alone Capital, with Fraud

SEC Charges Justinas Butkus with Orchestrating $4 Million Fraud

SEC Announces Dismissal of Civil Enforcement Action Against Coinbase

SEC Extends Compliance Dates for Amendments to Investment Company Names Rule

SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations

SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence

SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk

January 27, 2025

Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions

January 27, 2025

Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures

January 27, 2025

SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition

January 27, 2025

Vanguard to Pay More Than $100 Million to Resolve Violations Related to Target Date Retirement Funds

January 27, 2025

SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients

January 27, 2025

SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks

January 27, 2025

SEC Charges LPL Financial with Anti-Money Laundering Violations

January 27, 2025

SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs

January 27, 2025