Latest from the SEC

Date Title Division/Office
Litigation Release - Barry Siegel Enforcement
Investment Company Act Order: Lafayette Square USA, Inc., et al. Investment Management
Other Commission Orders, Notice, and Information: Order Determining Whistleblower Award Claim Enforcement
The Nasdaq Stock Market LLC Rule Filing-t34-101224 Trading and Markets
Administrative Proceedings: Atlas Financial Holdings, Inc. Enforcement
Commission Opinions and Adjudicatory Orders: Norman Thorn Robertson Enforcement
Litigation Release - Seong Yeol Lee and Ameritrust Corporation, et al. Enforcement
Litigation Release - James R. Craigie Enforcement
NASDAQ Rule filing - 34-101218 Trading and Markets
Administrative Proceeding: TD Securities (USA) LLC Enforcement
SEC Charges Independent Director and Ex-CEO of Church & Dwight With Concealing Close Friendship with Company Executive Enforcement
Administrative Proceeding - Marathon Asset Management, LP Enforcement
TD Securities Charged in Spoofing Scheme Enforcement
SEC Charges Three Individuals in the New York Metropolitan Area for Perpetrating a $120 Million Pre-IPO Fraud Scheme Enforcement
Administrative Proceeding: Gemini Capital Partners LLC and Kabir Gangahar Enforcement
SEC Reaches Shooting Stars Minority and Women Inclusion
Litigation Release - Choice Advisors, LLC and Matthias O’Meara Enforcement
Advisory Firm Marathon Asset Management Charged with Policies Failures Regarding Potential Receipt of Confidential Information from Ad Hoc Creditors’ Committees Enforcement
Commission Opinions and Adjudicatory Orders: Vania May Bell Enforcement
Opinions and Adjudicatory Orders: Warren A. Davis and Gibraltar Global Securities, Inc. Enforcement

Last Reviewed or Updated: April 12, 2024