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

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SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities

SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors

SEC Charges Digital World SPAC for Material Misrepresentations to Investors

SEC Names Natasha Vij Greiner and Keith E. Cassidy Interim Acting Co-Directors of the Division of Examinations

SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading

SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet

SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members

SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds that Raised more than $1 Billion

August 30, 2023

SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder

SEC Charges Florida Investment Adviser a Second Time for Insider Trading

SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants

Fund Administrator Charged For Missing Red Flags

FINRA 2022 Annual Financial Report Published (June 2023)