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

SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients

January 27, 2025

SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks

January 27, 2025

SEC Charges LPL Financial with Anti-Money Laundering Violations

January 27, 2025

SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs

January 27, 2025

SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models

January 27, 2025

SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings

January 27, 2025

SEC Monitoring Impact of California Wildfires on Capital Markets

January 27, 2025

SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors

January 27, 2025

Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers

January 27, 2025

SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025

January 27, 2025

SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering

January 27, 2025

Mark T. Uyeda Named Acting Chairman of the SEC

January 27, 2025

SEC Crypto 2.0: Acting Chairman Uyeda Announces Formation of New Crypto Task Force

January 27, 2025

SEC Staff Updates: Acting Chairman Mark T. Uyeda Names Acting Senior Staff

January 27, 2025

Broker Dealer Alert: 2025 FINRA Annual Conference (May 2025)

December 24, 2024