SEC Charges Promoter and Companies with $4 Million Fraud Read the full report at Read More

SEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud Read the full report at Read More

SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering Read the full report at Read More

The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Full report at: Read More

The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The… Full report at: Read More

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law Read the full report at Read More

SEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors Read the full report at Read More

SEC Charges Former Investment Adviser with Stealing from Clients Read the full report at Read More

SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures Read the full report at Read More

The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms… Full report at: Read More