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Press Releases
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Last updated about 9 hours ago
SEC Announces Departure of Acting Enforcement Director Sanjay Wadhwa
about 10 hours ago
The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting...
SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025
about 11 hours ago
The Securities and Exchange Commission today announced that, based on its preliminary...
SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering
about 12 hours ago
The Securities and Exchange Commission today announced charges against Joey Miller, Jeff...
SEC Announces Departure of Public Affairs Head Scott Schneider
about 12 hours ago
The Securities and Exchange Commission today announced the departure of Scott Schneider...
SEC Policy Director Corey Klemmer to Step Down
about 13 hours ago
The Securities and Exchange Commission today announced that Corey Klemmer will step...
SEC Announces Departure of Chief of Staff Amanda Fischer
about 14 hours ago
The Securities and Exchange Commission today announced the departure of Amanda Fischer...
SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition
about 14 hours ago
The Securities and Exchange Commission today announced that Digital Currency Group Inc...
Vanguard to Pay More Than $100 Million to Resolve Violations Related to Target Date Retirement Funds
about 15 hours ago
The Securities and Exchange Commission today announced that The Vanguard Group, Inc...
SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks
about 16 hours ago
The Securities and Exchange Commission today announced that Paul John McCabe Jr...
SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients
about 17 hours ago
The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott...
SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million
about 17 hours ago
The Securities and Exchange Commission today announced settled charges against GrubMarket Inc...
SEC Charges LPL Financial with Anti-Money Laundering Violations
about 18 hours ago
The Securities and Exchange Commission today announced charges against broker-dealer and investment...