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Date Title Division/Office
SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts Enforcement
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange With Failing to Inform the Commission of a Cyber Intrusion Enforcement
SEC Obtains Final Judgments Against Strategic Legacy Investment Group, Inc. and SLIG High-Interest Liquid Savings Company in Connection with a Ponzi-Like Scheme Enforcement
Tina Diamantopoulos Named Regional Director of Chicago Office Enforcement
SEC Obtains Final Judgments Against Michael M. Beck and his mother, Helen P. Robinson, in Connection with a Penny Stock Fraud Enforcement
SEC Charges Restaurant Group FAT Brands Inc., its Chairman and Former CEO, and its Two Former CFOs with Defrauding Investors Enforcement
SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities Enforcement
SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings Enforcement
Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 Enforcement
SEC Charges Five Investment Advisers for Marketing Rule Violations Enforcement
Statement on Jury’s Verdict in Trial of Matthew Panuwat Enforcement
Statement on Jury’s Verdict in Trial of Terraform Labs PTE Ltd. and Do Kwon Enforcement
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Enforcement
Remarks at SEC Speaks 2024 Enforcement
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading Enforcement
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges Enforcement
SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence Enforcement
SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition Enforcement
SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members Enforcement
SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid Enforcement

Last Reviewed or Updated: June 28, 2024