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

SEC Charges Father and Son Financial Advisory Duo (Litigation Release No. 25655)

SEC Charges Recidivist with Stealing $5.2 Million from Investors

SEC Charges Investment Adviser Hite Hedge Asset Management LLC with Violating a Trading Rule

SEC Charges Darius Karpavicius in $4 Million Offering Fraud for Operating TBO Capital Group and Gray Capital Group

SEC Charges Investment Adviser with Defrauding Clients in Connection with Annuity Sales

SEC Obtains Final Judgment Against Former CFO Charged with Fraud and Lying to Auditors

SEC Charges Investment Adviser Candlestick Capital Management LP with Violating a Trading Rule

How Cybersecurity Protects Valuation: Considerations for Private Equity in the Deal Lifecycle

SEC Proposes Changes to Trio of Cybersecurity Rules

CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation

CFTC Revokes Registrations of Allianz Global Investors US LLC

CFTC Orders Puerto Rico Commodity Pool Operator to Pay $150,000 for Supervision and Reporting Violations

FINRA's Monthly Disciplinary Actions (Q1 2023)

The $3.4 Million Tip

Moving Forward: Anti-Money Laundering in 2023