What's New

Date Title Division/Office
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
SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations 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 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 Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock Division of Enforcement
SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts Division of Enforcement
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange With Failing to Inform the Commission of a Cyber Intrusion Division of Enforcement
Tina Diamantopoulos Named Regional Director of Chicago Office Division of Enforcement
SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities Division of Enforcement
SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings Division of Enforcement
Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 Division of Enforcement
SEC Charges Five Investment Advisers for Marketing Rule Violations Division of Enforcement

Last Reviewed or Updated: June 28, 2024