SEC Receives Final Judgement Against Fund Manager Involved in Development of Distressed Areas Read the full report at Read More

The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. The… Full report at: Read More

The Securities and Exchange Commission today announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. This is the highest award in the SEC’s… Full report at: Read More

SEC Charges Florida Resident with Operating $5.9 Million Ponzi Scheme Targeting African-American Community Read the full report at Read More

The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. Schmitz for breach of… Full report at: Read More

The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms to fill vacancies arising primarily from the expiration of prior members’… Full report at: Read More

SEC Obtains Final Judgments Against Firm and Its Principals for Acting as Unregistered Dealers and Engaging in a Penny Stock Fraud Scheme Read the full report at Read More

SEC Alleges Son and Father-In-Law Touted Faith to Target Church Members in $20 Million Offering Fraud Read the full report at Read More

The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments are designed to enhance the ability of the Financial Stability… Full report at: Read More

The Securities and Exchange Commission today adopted amendments to modernize the disclosure requirements relating to repurchases of an issuer’s equity securities, including requiring issuers to provide daily repurchase activity on a quarterly or semi-… Full report at: Read More