• The U.S. Securities and Exchange Commission (SEC) Secures Final Judgment Against Canadian Individual in Microcap Fraud Scheme
  • SEC Charges North Carolina Man and Entities He Controlled with Fraud
  • SEC Files Settled Fraud Charges Against Los Angeles-Based “Smart Ring” Company and Its Principal
  • SEC Charges Virtu Americas With Inadequate Data Security and Misleading Institutional Clients
  • SEC Charges Five Advisory Firms for Custody Rule Violations
  • SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate