What's New

Date Title Division/Office
SEC Awards More Than $37 Million to a Whistleblower Division of Enforcement
Statement on Jury’s Verdict in Trial of Guy Gentile, founder, owner, and CEO of MintBroker International, Ltd., f/k/a Swiss America Securities Ltd. and d/b/a SureTrader Division of Enforcement
SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program Division of Enforcement
SEC Charges Consensys Software for Unregistered Offers and Sales of Securities Through Its MetaMask Staking Service Division of Enforcement
SEC Obtains Judgments Against Participants in International Microcap Fraud Sche… Division of Enforcement
SEC Charges Former Controller of Security Company With Insider Trading Division of Enforcement
SEC Charges Meta Materials and Former CEOs With Market Manipulation, Fraud and Other Violations Division of Enforcement
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Division of Enforcement
Securities and Exchange Commission v. Evoqua Water Technologies Corp. and Imran Parekh Case No.  1:23-cv-00105-MSM-PAS (D.R.I.)  Division of Enforcement
In the Matter of Andeavor LLC Division of Enforcement
SEC Charges CPI Aerostructures, Inc. with Financial Reporting, Accounting, and Controls Violations Division of Enforcement
SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations Division of Enforcement
SEC Charges Pennsylvania-Based Investment Adviser for Misleading Advertisements Division of Enforcement
Terraform and Kwon to Pay $4.5 Billion Following Fraud Verdict Division of Enforcement
SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors Division of Enforcement
SEC Charges Investment Advisers with Misleading Disclosures Regarding Work with Activist Short Publishers Division of Enforcement
SEC Charges Founder of AI Hiring Startup Joonko with Fraud Division of Enforcement
SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes Division of Enforcement
SEC Charges Restaurant Food Distribution Company HF Foods Group Inc. with Fraud Division of Enforcement
SEC Charges Citizen of Finland with Insider Trading in Advance of Tender Offer Announcement Division of Enforcement

Last Reviewed or Updated: June 28, 2024