SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades Read the full report at Read More

The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities trading,… Full report at: Read More

SEC Obtains Final Judgments Against Two Family Office Executives Charged with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today announced that it filed 760 total enforcement actions in fiscal year 2022, a 9 percent increase over the prior year. These included 462 new, or “stand alone,” enforcement actions, a 6.5 percent increase over… Full report at: Read More

The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing… Full report at: Read More

SEC Charges Massachusetts Resident with Conducting $2 Million Fraudulent Investment Offering Read the full report at Read More

SEC Announces Additional Charges in Scheme to Trade Ahead of Pharma Tender Offer Read the full report at Read More

The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. The SEC’s complaint, filed in the… Full report at: Read More

SEC Seeks Special Master to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Mutual Fund Read the full report at Read More

Court Enters Final Judgment Against Connecticut Investment Adviser Charged with Stealing Client Funds Read the full report at Read More