What's New

Date Title Division/Office
Administrative Proceeding: Montague DeRose & Associates, LLC Enforcement
Administrative Proceeding: CSG Advisors, Inc. Enforcement
Administrative Proceeding: Kaufman, Hall & Associates, LLC and Ponder & Company Enforcement
Administrative Proceeding: Phoenix Advisors, LLC Enforcement
Administrative Proceeding: PFM Financial Advisors LLC Enforcement
Administrative Proceeding: cFX Inc. Enforcement
Administrative Proceeding: Caine Mitter and Associates Inc. Enforcement
Administrative Proceeding: Acacia Financial Group, Inc. Enforcement
2024 Cybersecurity Disclosure (CYD) Taxonomy Structured Disclosure
Audit Firm Prager Metis Settles SEC Charges for Negligence in FTX Audits and for Violating Auditor Independence Requirements Enforcement
SEC Charges 12 Municipal Advisors With Recordkeeping Violations Enforcement
Administrative Proceeding: Frank Lynold Mercado Enforcement
Administrative Proceeding: State Farm VP Management Corp. Enforcement
Administrative Proceeding: Ralph M. Trigg Enforcement
Administrative Proceedings: Wells Fargo & Company Enforcement
Administrative Proceedings: Kathryn Jane Meredith, d/b/a KM Advisory Services and John Paul Harnish d/b/a KM Advisory Services Enforcement
Administrative Proceedings: Alexander Capital, L.P., Philip A. Noto II, Barry T. Eisenberg Enforcement
Administrative Proceedings: Bankrate, Inc. and Hyunjin Lerner Enforcement
Litigation Release: Federico Nannini, Mauro Nannini, Alejandro Thermiotis, and Francisco Tonarely Enforcement
Administrative Proceedings: Vora Wealth Management, PLLC and Dharmesh Virendra Vora Enforcement

Last Reviewed or Updated: June 28, 2024