What's New

Date Title Division/Office
SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme Enforcement
SEC Obtains Final Judgment Against a Los Angeles Individual for Perpetrating a $47 Million Affinity Fraud Targeting Members of the Orthodox Jewish Community Enforcement
SEC Charges Investment Advisers with Misleading Disclosures Regarding Work with Activist Short Publishers Enforcement
SEC Charges Investment Advisers with Misleading Disclosures Regarding Work with Activist Short Publishers 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
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 Obtains Judgments Against She Beverage, Inc. and Its Principals Lupe L. Rose, Sonja F. Shelby, and Katherine E. Dirden Enforcement
SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office Enforcement
SEC Charges Three Southern California Siblings with Insider Trading Enforcement
SEC Charges Real Estate Investment Fund with Offering Fraud Targeting Investors in Chinese-Speaking Communities Enforcement
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Enforcement
SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Enforcement
SEC Charges PIMCO for Disclosure and Policies and Procedures Failures Enforcement
Michele Layne, Director of Los Angeles Regional Office, to Leave SEC Agency-Wide
SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud Enforcement
SEC Charges Microcap Company and Its Executives with Fraud Enforcement
SEC Charges San Diego-Based Investment Adviser for Running Fraudulent "Cherry Picking" Scheme Enforcement
SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud Enforcement
SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players Enforcement

Last Reviewed or Updated: June 28, 2024