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

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Former Wells Fargo Senior Executive Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric

SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts

SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures

SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations

SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs

Client Alert: SEC Adopts Amendments to Enhance Private Fund Reporting

SEC Adopts Amendments to Modernize Share Repurchase Disclosure

SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud

SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service

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