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SEC

SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Scheme

Read here: https://www.sec.gov/newsroom/press-releases/2025-76

SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme

Read here: https://www.sec.gov/newsroom/press-releases/2025-69

Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions

Read here: https://www.sec.gov/newsroom/press-releases/2025-5

SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors

Read here: https://www.sec.gov/newsroom/press-releases/2025-8

Vince McMahon, Former CEO of WWE, Charged for Failure to Disclose to WWE Two Settlement Agreements He Executed on Behalf of WWE

Read here: https://www.sec.gov/newsroom/press-releases/2025-1

Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD

Rea here: https://www.sec.gov/newsroom/press-releases/2024-212

Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports

Read here: https://www.sec.gov/newsroom/press-releases/2024-208

SEC Charges U.S.-Based Moog Inc. with FCPA Violations for Subsidiary’s Role in Indian Bribery Scheme

Read here: https://www.sec.gov/newsroom/press-releases/2024-170

SEC Charges “Magic Mushroom” Company and Two Individuals with Multimillion Dollar Pump-and-Dump Scheme

Read here: https://www.sec.gov/newsroom/press-releases/2024-165

SEC Charges Multiple Individuals and Entities in Relationship Investment Scams: Schemers allegedly used WhatsApp, LinkedIn, and Instagram to lure investors

Read here: https://www.sec.gov/newsroom/press-releases/2024-134

Nanobit complaint: https://www.sec.gov/files/litigation/complaints/2024/comp-pr2024-134-nanobit.pdf

CoinW6 complaint: https://www.sec.gov/files/litigation/complaints/2024/comp-pr2024-134-coinw6.pdf

SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme

Read here: https://www.sec.gov/newsroom/press-releases/2024-124

SEC Charges NovaTech and its Principals and Promoters with $650 Million Crypto Fraud

Read here: https://www.sec.gov/newsroom/press-releases/2024-95

SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud

Read here: https://www.sec.gov/newsroom/press-releases/2024-92

Terraform and Kwon to Pay $4.5 Billion Following Fraud Verdict

Read here: https://www.sec.gov/news/press-release/2024-73

SEC Obtains Final Judgment Against Volkswagen Financing Subsidiary in Connection With “Clean Diesel” Emissions Fraud

Read here: https://www.sec.gov/litigation/litreleases/lr-25969

SEC Obtains Final Judgment Against Ryan Felton, FLiK, and CoinSpark for Fraudulent ICOs

Read here: https://www.sec.gov/litigation/litreleases/lr-25961

SEC Charges Husband of Energy Company Manager with Insider Trading: Overheard several of his wife’s work-related conversations

Read here: https://www.sec.gov/news/press-release/2024-24

SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business

Read here: https://www.sec.gov/news/press-release/2024-6

SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors

Read here: https://www.sec.gov/news/press-release/2023-233

SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures

Read here: https://www.sec.gov/news/press-release/2023-227

SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading

Read here: https://www.sec.gov/news/press-release/2023-204

Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations

Read here: https://www.sec.gov/news/press-release/2023-194

Caught in a SAR Trap: Statement on In the Matter of Pierre Economacos

Read here: https://www.sec.gov/news/statement/peirce-uyeda-statement-pierre-economacos-091823

SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary

Read here: https://www.sec.gov/news/press-release/2023-160

SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading

Read here: https://www.sec.gov/news/press-release/2023-158

SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures

Read here: https://www.sec.gov/news/press-release/2023-149?utm_medium=email&utm_source=govdelivery

Fund Administrator Charged For Missing Red Flags

Read here: https://www.sec.gov/news/press-release/2023-148

Risk Alert: Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers

Read here: https://www.sec.gov/exams/announcement/risk-alert-aml-compliance-examinations-bd

SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports

Read here: https://www.sec.gov/news/press-release/2023-128

SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability

Read here: https://www.sec.gov/news/press-release/2023-126

SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community

Read here: https://www.sec.gov/news/press-release/2023-118

SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud

Read here: https://www.sec.gov/news/press-release/2023-97

SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures

Read here: https://www.sec.gov/news/press-release/2023-91

Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges

Read here: https://www.sec.gov/news/press-release/2023-92

SEC Issues Largest-Ever Whistleblower Award

Read here: https://www.sec.gov/news/press-release/2023-89

Frank’s International Pays $8m in Relation to Angola Bribery Violations

Read here: https://www.sec.gov/litigation/admin/2023/34-97381.pdf

SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company

Read here: https://www.sec.gov/news/press-release/2023-74

SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme

Read here: https://www.sec.gov/news/press-release/2023-66

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme

Read here: https://www.sec.gov/news/press-release/2023-50

SEC Charges Software Company Blackbaud Inc. for Misleading Disclosures About Ransomware Attack That Impacted Charitable Donors

Read here: https://www.sec.gov/news/press-release/2023-48

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