SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers Read the full report at Read More

The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the… Full report at: Read More

The Securities and Exchange Commission today announced that Monique C. Winkler has been named Regional Director of the San Francisco Regional Office. Ms. Winkler has served as the office’s Acting Regional Director since March 2022 and as the Associate… Full report at: Read More

The Securities and Exchange Commission today announced that Nicholas P. Grippo has been named Regional Director of the Philadelphia Regional Office, effective September 12, 2022. Mr. Grippo currently serves as Chief of the Criminal Division for the U.S.… Full report at: Read More

The Securities and Exchange Commission today announced that Lori H. Price has been named Director of the Office of Credit Ratings (OCR), effective Aug. 14, 2022. She has served as Acting Director since February 2022 and has more than 30 years of… Full report at: Read More

SEC Charges Promoters of Desilu Studios Offering Fraud Read the full report at Read More

SEC Charges Broker-Dealer and Two Employees with Engaging in Unauthorized Securities Transactions Read the full report at Read More

SEC Brings Charges Over Unregistered Offerings of Conservation Easement Investments Read the full report at Read More

The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity Futures Trading Commission (CFTC) is… Full report at: Read More

The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action.   The first whistleblower prompted the opening of the… Full report at: Read More