The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to… Full report at: Read More

SEC Obtains Over $1 Million Final Judgment Against Three Individuals in Microcap Fraud Scheme Targeting Retail Investors Read the full report at Read More

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation has opened registration for the SEC’s 42nd Annual Government-Business Forum on Small Business Capital Formation, which will take place April 24-27. The… Full report at: Read More

Eight Celebrities Also Charged for IIIegal Touting of Sun’s Crypto Asset Securities Read the full report at Read More

The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered broker-… Full report at: Read More

SEC Obtains Judgments and Bar Against Former Ozy Media Executives Charged in $50 Million Dollar Fraud Read the full report at Read More

The Securities and Exchange Commission today charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company, its CEO, and five other entities and individuals for their participation in a long-running scheme in which they… Full report at: Read More

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme Read the full report at Read More

SEC Charges Darius Karpavicius in $4 Million Offering Fraud for Operating Tbo Capital Group and Gray Capital Group Read the full report at Read More

The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,… Full report at: Read More