What's New

Date Title Division/Office
SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Division of Enforcement
SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund Division of Enforcement
J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Division of Enforcement
SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business Division of Enforcement
SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures Division of Enforcement
SEC Charges Global Software Company SAP for FCPA Violations Division of Enforcement
SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Division of Enforcement
BarnBridge DAO Agrees to Stop Unregistered Offer and Sale of Structured Finance Crypto Product Division of Enforcement
SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud Division of Enforcement
SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud Division of Enforcement
SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief Division of Enforcement
SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme Division of Enforcement
Statement on Jury's Verdict in Trial of Mykalai Kontilai and Collectors Coffee Inc. Division of Enforcement
SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme Division of Enforcement
Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services Division of Enforcement
Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC Division of Enforcement
SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme Division of Enforcement
SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud Division of Enforcement
SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office Division of Enforcement
SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. Division of Enforcement

Last Reviewed or Updated: June 28, 2024