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

SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund

February 8, 2024

SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud

February 8, 2024

SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel

February 8, 2024

SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students

February 8, 2024

Broker Dealer Alert: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

February 8, 2024

SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud

February 8, 2024

SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product

February 8, 2024

Remarks at the 51st Annual Securities Regulation Institute

January 22, 2024

J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule

January 18, 2024

SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business

January 18, 2024

SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures

January 18, 2024

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief

January 18, 2024

Mark Uyeda Sworn in for Second Term as SEC Commissioner

January 18, 2024

Client Update: SEC Issues Staff Report on Accredited Investor Definition

January 22, 2024

SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief

December 27, 2023