What's New

Date Title Division/Office
Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures Enforcement
Tina Diamantopoulos Named Regional Director of Chicago Office Enforcement
Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures Enforcement
Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC Enforcement
SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme Enforcement
Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities Enforcement
SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets Enforcement
SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud Enforcement
SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme Enforcement
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule Enforcement
SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million Enforcement
SEC Charges Firm and Five Brokers with Violations of Reg BI Enforcement
SEC Charges Investment Adviser with Failing to Disclose Conflicts Arising from Mutual Fund and Account Recommendations
SEC Obtains Partial Summary Judgment Against Portfolio Manager for Misrepresenting Risk Management in Mutual Fund
SEC Obtains Final Judgment Against Analyst Charged with Aiding & Abetting New York Pension Fund Pay-To-Play Scheme
SEC Charges Former IIIinois Investment Professional with Fraud
SEC Obtains Final Judgment Against Analyst Charged with Aiding & Abetting New York Pension Fund Pay-To-Play Scheme
Daniel R. Gregus Named Director of Chicago Office Agency-Wide
SEC Charges Co-Founder of Cannabis Companies with Fraud
SEC Bars Jaime M. Westenbarger of Brentwood, TN based on a C&D order entered by the State of Michigan

Last Reviewed or Updated: June 28, 2024