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Division/Office


Date	Title	Division/Office
Oct. 28, 2019	SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud	Agency-Wide
Aug. 29, 2019	SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme	Public Affairs
Aug. 1, 2019	SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud	Public Affairs
July 1, 2019	SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month	Agency-Wide
May 23, 2019	SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme	Public Affairs
March 29, 2019	SEC Charges Brokerage Firm for Failure to File Suspicious Activity Reports	Enforcement
March 28, 2019	SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors	Public Affairs
March 22, 2019	Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs	Enforcement
March 13, 2019	Wedbush Settles Failure to Supervise Charge	Enforcement
Aug. 30, 2018	SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser	Enforcement
June 29, 2018	SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers	Enforcement
March 9, 2018	SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors	Enforcement
Feb. 21, 2018	SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud	Enforcement
March 6, 2017	SEC, Consumer Protection Agencies Team Up to Fight Fraud	Agency-Wide

Last Reviewed or Updated: June 28, 2024