Enforcement

The SEC alleges material misstatements were made to hedge fund investors

SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

The "SEC had sent prior warnings to Defendants about problems in their advertising and disclosures and also warning that it would consider ‘recidivist behavior’"

Crypto firm has three months to refund any cash that investors demand back

“Romeril faces the threat of reopened and renewed prosecution if he speaks up”

"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"

A “language barrier and certain cultural differences” blamed for regulator woes

RELEASE Number 8062-19 October 24, 2019   CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...

FINRA officials are working their way toward long-promised expungement reforms with a new rulemaking notice that would create a list of specially trained super-arbitrators who ...