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

SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity

SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players

SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud

SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency

SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct

SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme

SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading

SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients

FinCEN Issues Initial Beneficial Ownership Information Reporting Guidance

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