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

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SEC Charges Robo-Adviser with Misleading Clients

SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations

City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest

$4.7 Million Fine: SEC Charges Venture Capital Fund Adviser with Misleading Investors

SEC Charges Previously-Barred Investment Adviser with Fraud

SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos

SEC Awards More Than $3.5 Million to Whistleblower

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

SEC Awards Approximately $14 Million to Whistleblower

SEC Enforcement: Charges Call Center Operators in $58 Million Penny Stock Scheme

SEC Enforcement: Charges Three Florida Residents in Multi-Million Dollar Insider Trading Scheme

January 23, 2022

SEC Enforcement: Charges ICO Issuer and Founder with Defrauding Investors

January 23, 2022

SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers

January 23, 2022

SEC Enforcement: Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures

January 6, 2022

SEC Enforcement: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges

January 6, 2022