• SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading
  • SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger
  • SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance
  • SEC Charges 10 Firms with Widespread Recordkeeping Failures
  • SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
  • RIA, Owner to Pay $2M to Settle SEC’s Cherry-Picking Charges