Press Releases

Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Date Headline Release No.
SEC Charges Seven Public Companies with Violations of Whistleblower Protection Rule 2024-118
SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp. 2024-117
SEC Charges Former Finance Director at CIRCOR International with Accounting Fraud 2024-116
SEC Charges Broker-Dealer Nationwide Planning and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule 2024-115
SEC Charges Six Credit Rating Agencies with Significant Recordkeeping Failures 2024-114
SEC Charges Advisory Firm ClearPath with Custody Rule and Liability Disclaimer Violations 2024-113
SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community 2024-112
SEC Charges Crypto-Focused Advisory Firm Galois Capital for Custody Failures 2024-111
SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs 2024-110
SEC Charges China-based QZ Asset Management Ltd. and its CEO in Pre-IPO Fraud Scheme 2024-109
SEC Charges U.S. Navy Shipbuilder Austal USA with Accounting Fraud 2024-108
SEC Charges Brothers Jonathan and Tanner Adam with $60 Million Ponzi Scheme 2024-107
SEC Charges Sound Point Capital Management for Compliance Failures in Handling of Nonpublic Information 2024-106
SEC Charges Abra with Unregistered Offers and Sales of Crypto Asset Securities 2024-105
SEC Issues $24 Million Awards to Two Whistleblowers 2024-104
SEC Issues Awards Totaling $98 Million to Two Whistleblowers 2024-103
SEC Adopts Rule to Update Definition of Qualifying Venture Capital Funds 2024-102
SEC Charges Transfer Agent Equiniti Trust Co. with Failing to Protect Client Funds Against Cyber Intrusions 2024-101
SEC Approves New and Updated PCAOB Audit Standards and an Amendment to the PCAOB’s Contributory Liability Rule 2024-100
SEC Charges Carl Icahn and Icahn Enterprises L.P. for Failing to Disclose Pledges of Company’s Securities as Collateral for Billions in Personal Loans 2024-99
Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures 2024-98
SEC Charges Russell Todd Burkhalter and His Atlanta-Based Firm With $300 Million Ponzi Scheme and Obtains Emergency Relief 2024-97
SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports 2024-96
SEC Charges NovaTech and its Principals and Promoters with $650 Million Crypto Fraud 2024-95
SEC Charges Ideanomics and Three Senior Executives with Accounting and Disclosure Fraud 2024-94
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