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SEC

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

SEC Charges Broker-Dealer with Failing to Report Suspicious Transactions

Read here: https://www.sec.gov/enforce/34-97020-s

SEC Charges Rio Tinto plc with Bribery Controls Failures

Read here: https://www.sec.gov/news/press-release/2023-46

SEC Charges Cousins for Insider Trading in Kodak Stock Ahead of Company’s Planned Govt. Partnership to Assist in Response to COVID-19

Read here: https://www.sec.gov/news/press-release/2023-38

SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures

Read here: https://www.sec.gov/news/press-release/2023-36

Bloomberg to Pay $5m for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities

Read here: https://www.sec.gov/news/press-release/2023-14

SEC Charges Four Individuals for Their Roles in a Prime Bank Fraud

Read here: https://www.sec.gov/litigation/litreleases/2023/lr25618.htm

SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination

Read here: https://www.sec.gov/news/press-release/2023-4

SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading

Read here: https://www.sec.gov/news/press-release/2022-232

AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts

Read here: https://www.sec.gov/news/press-release/2022-215

SEC Publishes FY22-26 Strategic Plan

Read here: https://www.sec.gov/news/press-release/2022-210

SEC Announces Enforcement Results for FY22

Read here: https://www.sec.gov/news/press-release/2022-206

SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud

Read here: https://www.sec.gov/news/press-release/2022-201

SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community

Read here: https://www.sec.gov/news/press-release/2022-200

SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security

Read here: https://www.sec.gov/news/press-release/2022-183

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