What's New

Date Title Division/Office
SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest Division of Enforcement
Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures Division of Enforcement
SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief Division of Enforcement
SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme 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
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme Division of Enforcement
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data Division of Enforcement
SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction Division of Enforcement
SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses Division of Enforcement
SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Division of Enforcement
SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange Division of Enforcement
SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Division of Enforcement
SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations Division of Enforcement
SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players Division of Enforcement
SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme Division of Enforcement
SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors Division of Enforcement
SEC Charges Former CEO of Slync in $67 Million Offering Fraud Division of Enforcement
Antonia Apps Named Director of New York Regional Office Division of Enforcement
SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading Division of Enforcement
SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community Division of Enforcement

Last Reviewed or Updated: June 28, 2024