![]() ![]() ![]() Headline: SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading Headline: SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants Headline: SEC Awards More Than $104 Million to Seven Whistleblowers Headline: Fund Administrator Charged For Missing Red Flags Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures Headline: Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency Headline: Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations Headline: SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction Headline: SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership Headline: SEC Enhances the Regulation of Private Fund Advisers Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal Headline: SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel Headline: SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary Headline: SEC Awards Whistleblower More Than $18 Million Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024 Impact Theory for Unregistered Offering of NFTs Headline: SEC Charges LA-Based Media and Entertainment Co. Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports with Recordkeeping Failures concerning Underwriting Expenses Headline: SEC Charges Citigroup Global Markets Inc. Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans Headline: SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate Headline: SEC Charges Five Advisory Firms for Custody Rule Violations Headline: SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail Headline: Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities Headline: SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules ![]()
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