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

SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud

SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer

RegComp Alert: SEC Extends Comment Period for Proposed Rulemaking to Enhance and Standardize Climate-Related Disclosures (June 17, 2022)

SEC Halts Fraudulent Cryptomining and Trading Scheme

SEC Issues Nearly $3.5 Million Award to Four Whistleblowers

SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining

SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit

Securities and Exchange Commission Seeks Greater Participation from Regulated Entities in Conducting and Submitting Voluntary Self-Assessments of Diversity Policies and Practices

SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts

Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme

FCPA News: SEC Charges Stericycle with Bribery Schemes in Latin America

SEC Charges Senior Executive of Brazilian Company with Fraud

SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents