What's New

Date Title Division/Office
SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts Public Affairs
SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters Public Affairs
Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office Public Affairs
J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries Public Affairs
SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy Public Affairs
Richard R. Best Named Director of SEC's New York Regional Office Public Affairs
SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports Division of Enforcement
SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors Public Affairs
Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges Public Affairs
Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years Compliance Inspections and Examinations
New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud Agency-Wide
Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering Public Affairs
SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO Public Affairs
SEC Revokes Registration of Adviser Engaged in $60 Million Fraud Public Affairs
SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud Agency-Wide
SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme Public Affairs
SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud Public Affairs
SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month Agency-Wide
SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme Public Affairs
SEC Charges Brokerage Firm for Failure to File Suspicious Activity Reports Division of Enforcement

Last Reviewed or Updated: June 28, 2024