| | In re Charles Lloyd | SEC-PR |
| | Press Release: SEC Charges A.G. Edwards With Failing to Supervise Brokers Who Engaged in Illegal Market Timing | SEC-PR |
| | 2018 Summary Report of Commission Staff’s Examinations of | SEC-PR |
| | Press Release: SEC Sanctions Broker-Dealer for Unsuitable 529 College Savings Plan Recommendations; 2006-092; Nov. 15, 2006 | SEC-PR |
| | SEC v. Credit Suisse First Boston Corporation, No. 17327 (D.D.C.), LITIGATION RELEASE NO | SEC-LR |
| | SEC Obtains Final Judgment as to Former New York Registered Representative Charged with Misappropriating Customer Funds | SEC-PR |
| | SEC v. Eberhard, et al., No. LR-17969 (S.D.N.Y. Civ. 03 CV 813 (RJB)) — Complaint alleging securities fraud, looting of customer brokerage accounts, and material misrepresentations by Todd M. Eberhard and his affiliated companies, Park South Securities, LLC, Eberhard Investment Associates, Inc., and Stone House Capital Partners LP. | SEC-LR |
| | In the Matter of : Proceedings, Making Findings | SEC-PR |
| | In re JOSEPH SIMONE | SEC-PR |
| | Conforming Version (To Conform to Release Published in the Federal Register) | SEC-PR |
| | Press Release: SEC Charges 38 Defendants in Multi-Million Dollar Stock Loan Scams | SEC-PR |
| | SEC v. Gary J. Gross, No. 20732 (S.D.N.Y. Sept. 22, 2008), U | SEC-LR |
| | Report Concerning Examinations of Options Order Routing and Execution | SEC-PR |
| | Citigroup Pays $20 Million to Settle SEC Action Relating to Mutual Fund Sales Practices | SEC-PR |
| | From Requirements in Rules 15c3-1 and 15c3-3 Under the | SEC-PR |
| | In re GARY MANFRE | SEC-PR |
| | SEC Charges Six Former Officers of Putnam Fiduciary Trust Company with Defrauding Clients of $4 Million; 2006-2; Jan. 3, 2006 | SEC-PR |
| | In re JOSEPH CARACCIOLO | SEC-PR |
| | In re National Trust and Fiduciary Services Company | SEC-PR |
| | SEC v. David A. Zwick, Securities and Exchange Commission v | SEC-LR |
| 2026-04-15 | | Amended Judgment Against Spartan Trading Company LLC | SEC-LR |
| 2026-04-10 | | SEC v. CHRISTOPHER BONGIORNO, No. 61-3 (S.D.N.Y. Apr. 10, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-04-10 | | Final Judgment As to Defendant Christopher Joseph Bongiorno | SEC-LR |
| 2026-04-10 | | SEC v. Bongiorno, No. 26526 (S.D.N.Y. Feb. 28, 2020), U | SEC-LR |
| 2026-04-07 | | In re Thrivent Investment Management | SEC-PR |
| 2026-04-07 | | In re MUFG Securities EMEA | SEC-PR |
| 2026-04-06 | | DUNCAN C. SIMPSON LAGOY (Cal. Bar No. 298776) | SEC-LR |
| 2026-04-03 | | Vincent J. Camarda, James E. McArthur, and A.G. Morgan Financial Advisors, LLC | SEC-LR |
| 2026-03-31 | | Securities and Exchange Commission v. Fullenkamp et al., No. 1:26-cv-3407 (D.N.J. Mar. 31, 2026), alleged securities fraud by causing publicly traded companies to issue stock to a shell entity secretly controlled by Fullenkamp, resulting in $2.6 million in illicit proceeds | SEC-LR |
| 2026-03-30 | | Amended Complaint For Violations Of Federal Securities Laws | SEC-LR |
| 2026-02-26 | | SEC v. FERNANDO PASSOS (S.D.N.Y. Feb. 26, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-11 | | Final Judgment Against Ice Fleet LLC | SEC-LR |
| 2026-01-27 | | Securities and Exchange Commission v. Jaberian, No. 21-1445 (D. Minn. Jan. 26, 2026), ordered to be permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws and prohibited from serving as an officer or director of any SEC-registered issuer | SEC-LR |
| 2026-01-16 | | SEC v. MATTHEW M. MOTIL (S.D.N.Y. Jan. 16, 2026), Judgment, llm-upgrade | SEC-LR |
| 2025-12-03 | | Final Judgment As To Virtu Financial Inc. And Virtu Americas LLC | SEC-LR |
| 2025-12-03 | | SEC v. Virtu Financial INC and, No. 1:23-cv-8072 (S.D.N.Y. Dec. 3, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-12-03 | | Virtu Financial, Inc.; Virtu Americas LLC | SEC-LR |
| 2025-11-21 | | Final Judgment As to Defendant Kevin l. Jefferson – Page 1 | SEC-LR |
| 2025-11-18 | | SEC v. Cyrus P. Naderi, No. 26418 (S.D.N.Y. Nov. 18, 2025), U | SEC-LR |
| 2025-09-22 | | SEC v. Aaron O’Brian Freeman, No. 7:25‑cv‑01514‑BO (E.D.N.C. Sep. 22, 2025), SEC alleged that Freeman conducted a fraudulent free‑riding scheme by depositing unfunded checks and using the resulting credit to purchase securities, causing broker‑dealers a net loss of at least $5,463.26. | SEC-LR |
| 2025-09-22 | | Securities and Exchange Commission v. Aaron O'Brian Freeman, No. 7:25-cv-01514-BO (E.D.N.C. Sept. 19, 2025), alleged free-riding scheme involving fraudulent deposits and unauthorized trading totaling nearly $3.5 million, resulting in over $5,000 in net losses to broker-dealers | SEC-LR |
| 2025-09-12 | | SEC v. ALLEN C. GILTMAN, No. 2:22-cv-00051-ES-JRA (S.D.N.Y. Sept. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-10 | | SEC v. Anthony J. Mastroianni, No. 26396 (S.D.N.Y. Aug. 17, 2022), U | SEC-LR |
| 2025-08-12 | | SEC v. Garrett W. Moretz, No. 26372 (S.D.N.Y. Aug. 12, 2025), U | SEC-LR |
| 2025-08-12 | | Order of Permanet Injunction and Other Relief As to | SEC-LR |
| 2025-07-03 | | SEC v. Hernandez et al., No. 23 Civ. 8110 (E.D.N.Y. Jun. 30, 2025), ordered to pay and permanently enjoined from violating securities laws | SEC-LR |
| 2025-05-30 | | SEC v. Klyushin, No. 1:21-cv-12088-WGY (S.D.N.Y. May 30, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-07 | | SEC v. LORAL L. LANGEMEIER and, No. 3-20597 (S.D.N.Y. May 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-13 | | SEC v. Shapiro et al., No. 1:15-cv-07045 (S.D.N.Y. Sep. 8, 2015), the Commission alleged that the defendants made material false statements and omissions to customers in residential mortgage‑backed securities and manufactured‑housing asset‑backed securities trades at Nomura, generating over $7 million of concealed profits. | SEC-LR |
| 2025-02-05 | | SEC v. JOSEPH M. LAURA (S.D.N.Y. Feb. 5, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | SEC v. Arete Wealth Management LLC, No. 26228 (S.D.N.Y. Jan. 17, 2025), llm-upgrade | SEC-LR |
| 2025-01-17 | | In re LPL Financial LLC | SEC-PR |
| 2025-01-17 | | SEC v. Arete Wealth Management (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-14 | | In re DANNY Z. SPIEGEL | SEC-PR |
| 2025-01-13 | | In re PJT Partners LP | SEC-PR |
| 2025-01-13 | | SEC v. Santander US Capital Markets LLC, No. 3-22406 (Jan. 13, 2025), the SEC alleged that Santander US Capital Markets LLC failed to preserve off‑channel communications in violation of recordkeeping and supervision rules, and imposed remedial sanctions and a cease‑and‑desist order. | SEC-PR |
| 2025-01-13 | | In re Robinhood Financial LLC and | SEC-PR |
| 2025-01-10 | | In re LIQUIDNET | SEC-PR |
| 2025-01-01 | | Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions | SEC-PR |
| 2025-01-01 | | SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering | SEC-PR |
| 2025-01-01 | | Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information | SEC-PR |
| 2025-01-01 | | SEC Charges LPL Financial with Anti-Money Laundering Violations | SEC-PR |
| 2025-01-01 | | Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures | SEC-PR |
| 2025-01-01 | | SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk | SEC-PR |
| 2024-12-23 | | SEC v. St. Julien et al., No. 26204 (E.D.N.Y. May 3, 2016), U | SEC-LR |
| 2024-12-20 | | In re DEUTSCHE BANK | SEC-PR |
| 2024-12-20 | | SEC v. Wells Fargo Clearing Services, No. 3-22373 (Dec. 20, 2024), alleged that Wells Fargo Clearing Services failed to submit complete and accurate electronic blue sheet data, violating recordkeeping and reporting requirements under the Exchange Act. | SEC-PR |
| 2024-12-20 | | In re LPL Financial LLC | SEC-PR |
| 2024-12-12 | | SEC v. Chibuzo Augustine Onyeachonam et al., No. 2:24-cv-11026 (D.N.J. Dec. 12, 2024), The SEC alleged that the defendants impersonated securities brokers and investment advisers to defraud at least 28 investors of more than $2.9 million. | SEC-LR |
| 2024-12-10 | | SEC v. Christopher Booth Kennedy, No. 26191 (S.D.N.Y. Dec. 10, 2024), U | SEC-LR |
| 2024-11-22 | | In re LIGHTSPEED FINANCIAL | SEC-PR |
| 2024-11-22 | | In re PAULSON INVESTMENT | SEC-PR |
| 2024-11-22 | | In re Webull Financial LLC | SEC-PR |
| 2024-11-18 | | SEC v. Auerbach et al., No. 26170 (E.D.N.Y. Oct. 4, 2019), U | SEC-LR |
| 2024-10-16 | | SEC v. Cabalar, No. 1:24‑cv‑07274 (E.D.N.Y. Oct. 16, 2024), alleged that the defendant recommended short‑term, high‑volume trading without a reasonable basis, misrepresented potential returns, and violated Regulation Best Interest, causing customers to lose over $1,000,000. | SEC-LR |
| 2024-10-16 | | SEC v. Baris Cabalar, No. 26161 (E.D.N.Y. Oct. 16, 2024), U | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-09-30 | | SEC v. CHOICE ADVISORS, No. 18-CV-1530-WQH-JLB (S.D.N.Y. Sept. 30, 2024), Judgment, CHOICE ADVISORS, LLC, and | SEC-LR |
| 2024-09-30 | | SEC v. Choice Advisors, No. 26142 (S.D.N.Y. Sept. 24, 2021), Judgment, llm-upgrade | SEC-LR |
| 2024-09-27 | | SEC v. Robert M. Vance, No. 26139 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-27 | | United States Securities and Exchange Commission v. Vance, No. 1:24-cv-01150-BAM (E.D. Cal. Oct. 8, 2024), alleged that Robert M. Vance violated Regulation Best Interest by recommending high-risk, illiquid L Bonds to retail customers without reasonable diligence, despite disclosures indicating substantial risk and unsuitability for such investors. | SEC-LR |
| 2024-09-25 | | In re Stilwell Value LLC | SEC-PR |
| 2024-09-25 | | and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities | SEC-PR |
| 2024-09-24 | | In re Canaccord Genuity LLC | SEC-PR |
| 2024-09-24 | | In re Qatalyst Partners LP | SEC-PR |
| 2024-09-24 | | In re Stifel | SEC-PR |
| 2024-09-24 | | In re Intesa Sanpaolo IMI | SEC-PR |
| 2024-09-24 | | In re Invesco Distributors | SEC-PR |
| 2024-09-24 | | In re Regions Securities LLC | SEC-PR |
| 2024-09-24 | | In re Alpaca Securities LLC | SEC-PR |
| 2024-09-24 | | In re CIBC World Markets Corp. and | SEC-PR |
| 2024-09-18 | | SEC v. Prager Metis CPAs (S.D.N.Y. Sept. 18, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-17 | | In re Pfm Financial Advisors LLC | SEC-PR |
| 2024-09-17 | | In re CFX INC. | SEC-PR |
| 2024-09-17 | | In re Acacia Financial Group | SEC-PR |
| 2024-09-17 | | In re Caine Mitter and Associates INC | SEC-PR |
| 2024-09-17 | | In re NATIONALE | SEC-PR |
| 2024-09-17 | | In re PHOENIX ADVISORS | SEC-PR |
| 2024-09-17 | | In re Dixon Mitchell | SEC-PR |
| 2024-09-17 | | In re MONTAGUE DeROSE & ASSOCIATES | SEC-PR |
| 2024-09-17 | | In re KAUFMAN | SEC-PR |
| 2024-09-17 | | In re Zions Public Finance | SEC-PR |
| 2024-09-09 | | and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities | SEC-PR |
| 2024-09-09 | | In re Smart for Life | SEC-PR |
| 2024-08-14 | | In re BNY Mellon Securities | SEC-PR |
| 2024-08-14 | | In re LPL Financial LLC | SEC-PR |
| 2024-08-14 | | In re Cetera Advisor Networks LLC | SEC-PR |
| 2024-08-14 | | In re Off-Channel | SEC-PR |
| 2024-08-14 | | In re Piper Sandler & Co. | SEC-PR |
| 2024-08-14 | | In re Apex Clearing Corporation | SEC-PR |
| 2024-08-14 | | SEC v. Wilson J. Rondini, No. 26077 (S.D.N.Y. Sept. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2024-08-14 | | In re Raymond James & | SEC-PR |
| 2024-08-14 | | In re Ameriprise Financial Services | SEC-PR |
| 2024-08-14 | | In re RBC Capital Markets | SEC-PR |
| 2024-08-14 | | In re Haitong International | SEC-PR |
| 2024-08-14 | | In re Hilltop Securities Inc. | SEC-PR |
| 2024-08-14 | | In re Edward D. Jones & Co. | SEC-PR |
| 2024-08-14 | | In re Cowen and Company | SEC-PR |
| 2024-08-14 | | In re Truist Securities | SEC-PR |
| 2024-08-14 | | In re Great Point Capital | SEC-PR |
| 2024-08-12 | | In re OTC Link LLC | SEC-PR |
| 2024-07-31 | | SEC v. Western International Securities, No. 26065 (S.D.N.Y. Jul. 31, 2024), defs:body | SEC-LR |
| 2024-07-29 | | SEC v. GARRETT W. MORETZ, No. 5:24-cv-00171 (S.D.N.Y. Jul. 29, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-29 | | SEC v. Garrett W. Moretz, No. 26061 (S.D.N.Y. Jul. 29, 2024), U | SEC-LR |
| 2024-07-26 | | In the Matter of the Claims for an Award | SEC-PR |
| 2024-07-01 | | Final Judgment As to Adrian j. Ka Wuba | SEC-LR |
| 2024-06-20 | | SEC v. Ross I Mclellan, No. 664900 (S.D.N.Y. Jun. 20, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-22 | | SEC v. Ganesh H. Betanabhatla, No. 26009 (S.D.N.Y. May 22, 2024), U | SEC-LR |
| 2024-05-14 | | SEC v. St. Julien et al., No. 26006 (E.D.N.Y. May 14, 2024), U | SEC-LR |
| 2024-05-13 | | SEC v. Tyrone Johnny Lacy, No. 26004 (S.D.N.Y. May 13, 2024), U | SEC-LR |
| 2024-05-01 | | SEC v. Levin, No. 25991 (S.D.N.Y. May 1, 2024), U | SEC-LR |
| 2024-04-29 | | SEC v. Mario E. Rivero, No. 25986 (S.D.N.Y. Mar. 14, 2022), U | SEC-LR |
| 2024-04-22 | | SEC v. City of Rochester, No. 25981 (W.D.N.Y. Apr. 22, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-04-22 | | SEC v. Choice Advisors, No. 25982 (S.D.N.Y. Sept. 23, 2021), Judgment, llm-upgrade | SEC-LR |
| 2024-04-22 | | SEC v. CHOICE ADVISORS, No. 34-70462 (S.D.N.Y. Apr. 22, 2024), Judgment, defs:body | SEC-LR |
| 2024-04-09 | | SEC v. Mark Borden, No. 25971 (E.D.N.Y. Apr. 8, 2024), U | SEC-LR |
| 2024-04-09 | | SEC v. MARK BORDEN, No. 24-cv-2621 (S.D.N.Y. Apr. 9, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-04 | | SEC v. EDUARDO HERNANDEZ (S.D.N.Y. Apr. 4, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-03-27 | | Securities and Exchange Commission v. Cattlin et al., No. 21-CV-5294 (E.D.N.Y. Mar. 26, 2024), judgment entered granting default, ordering disgorgement of $107,140 plus prejudgment interest of $17,217.62, imposing civil penalties of $230,464, and enjoining Cattlin from future securities violations and participation in penny stock offerings or as a public company officer or director | SEC-LR |
| 2024-03-06 | | "UNRECOVERABLE: Timeout During Enrichment" | SEC-PR |
| 2024-02-09 | | In re U.S. Bancorp Investments | SEC-PR |
| 2024-02-06 | | SEC v. JEFFREY AUERBACH (S.D.N.Y. Feb. 6, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-01-01 | | Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2024-01-01 | | Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2024-01-01 | | SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds | SEC-PR |
| 2024-01-01 | | SEC Charges 11 Institutional Investment Managers with Failing to Report Certain Securities Holdings | SEC-PR |
| 2024-01-01 | | JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions | SEC-PR |
| 2024-01-01 | | SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports | SEC-PR |
| 2024-01-01 | | SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers | SEC-PR |
| 2024-01-01 | | SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations | SEC-PR |
| 2024-01-01 | | Eleven Firms to Pay More Than $88 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2023-11-17 | | SEC v. ALAN Z. APPELBAUM, No. 22-81115-CIV-CANNON (S.D.N.Y. Nov. 17, 2023), Judgment, llm-upgrade | SEC-LR |
| 2023-11-17 | | SEC v. Alan Z. Appelbaum, No. 25895 (S.D.N.Y. Nov. 17, 2023), U | SEC-LR |
| 2023-10-25 | | SEC v. Julie Anne Darrah, No. 25885 (S.D.N.Y. Oct. 20, 2023), defs:body | SEC-LR |
| 2023-10-25 | | 1 DOUGLAS M. :MILLER (Cal. Bar No. 240398) | SEC-LR |
| 2023-09-28 | | SEC v. Ronald E. Filoramo, No. 25864 (S.D.N.Y. Sept. 28, 2023), U | SEC-LR |
| 2023-09-28 | | SEC v. Michael Blumer, No. 25863 (E.D.N.Y. Sept. 28, 2023), U | SEC-LR |
| 2023-09-28 | | David Page, Steven Thompson, and : Ecf Case | SEC-LR |
| 2023-09-25 | | SEC v. DOUGLAS MACWRIGHT and (S.D.N.Y. Sept. 25, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-22 | | Securities and Exchange Commission v. J.H. Darbie & Co., Inc., No. 1:22-cv-10482-JHR (S.D.N.Y. Sept. 13, 2023), ordered to pay a $125,000 civil penalty and retain an independent anti-money laundering compliance consultant for allegedly failing to file Suspicious Activity Reports for tens of billions of shares of penny stock transactions | SEC-LR |
| 2023-09-22 | | In re Goldman Sachs & Co. LLC | SEC-PR |
| 2023-09-22 | | SEC v. J.H. DARBIE & CO. | SEC-LR |
| 2023-09-22 | | In re CITADEL SECURITIES | SEC-PR |
| 2023-09-18 | | SEC v. Rondini, No. 25831 (S.D.N.Y. Sept. 18, 2023), defs:body | SEC-LR |
| 2023-09-18 | | Wilson j. Rondini, Iii, ) Jury Trial Demanded | SEC-LR |
| 2023-09-14 | | In re GlennCap LLC and | SEC-PR |
| 2023-09-12 | | SEC v. Virtu Financial Inc. and Virtu Americas LLC, No. 25827 (S.D.N.Y. Sept. 12, 2023), Information, llm-upgrade | SEC-LR |
| 2023-09-12 | | SEC v. Virtu Financial INC and, No. 1:23-cv-8072 (S.D.N.Y. Sept. 12, 2023), Amended Complaint, llm-upgrade | SEC-LR |
| 2023-09-05 | | In re PRIME GROUP | SEC-PR |
| 2023-08-29 | | In re Citigroup Global Markets Inc. | SEC-PR |
| 2023-08-29 | | In re ARCHIPELAGO TRADING | SEC-PR |
| 2023-08-28 | | SEC v. Deyonte Jahtori Anthony, No. 25816 (S.D.N.Y. Aug. 25, 2023), U | SEC-LR |
| 2023-08-28 | | SEC v. Deyonte Jahtori Anthony, No. 457868 (S.D.N.Y. Aug. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-08 | | In re SG Americas Securities | SEC-PR |
| 2023-08-08 | | In re BNP Paribas Securities | SEC-PR |
| 2023-08-08 | | In re Wells Fargo Securities | SEC-PR |
| 2023-08-08 | | In re SMBC Nikko Securities | SEC-PR |
| 2023-08-08 | | In re Mizuho Securities USA LLC | SEC-PR |
| 2023-08-02 | | SEC v. USTOCKTRADE LLC and, No. 1:23-cv-6756 (S.D.N.Y. Aug. 2, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-02 | | SEC v. Ustocktrade LLC, No. 25799 (S.D.N.Y. Aug. 2, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-28 | | SEC v. CLARICE SAW (S.D.N.Y. Jul. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-28 | | SEC v. Saw, S.D.N.Y. (Jul. 28, 2023), The SEC alleged that Saw defrauded a customer of approximately $2.4 million by misappropriating funds and liquidating securities without consent. | SEC-LR |
| 2023-07-13 | | SEC v. Joseph Michael Todd, No. 5:23-cv-00431 (S.D.N.Y. Jul. 13, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-13 | | SEC v. Joseph Michael Todd, No. 25777 (S.D.N.Y. Jul. 13, 2023), defs:body | SEC-LR |
| 2023-07-11 | | SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports | SEC-PR |
| 2023-07-11 | | In re Merrill Lynch | SEC-PR |
| 2023-07-07 | | SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members | SEC-PR |
| 2023-07-07 | | SEC v. CAZ L. CRAFFY | SEC-PR |
| 2023-07-07 | | SEC v. CAZ L. CRAFFY, No. 23-CV-3 (S.D.N.Y. Jul. 7, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-06 | | SEC v. EMPIRES CONSULTING, No. 22-21995-CIV-ALTONAGA (S.D.N.Y. Jul. 6, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-05 | | SEC v. Spartan Trading Company, No. 25767 (S.D.N.Y. Jul. 5, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-30 | | Securities and Exchange Commission v. Collins, et al., No. 4:23-cv-00676-O (N.D. Tex. Jun. 30, 2023), alleged that defendants orchestrated a fraudulent scheme to sell restricted shares of Global Resource Energy, Inc. to the public while concealing their control of the company and that one defendant acted as an unregistered broker. | SEC-LR |
| 2023-06-14 | | SEC v. Thayer, No. 1:23-cv-00362 (S.D. Ohio Jun. 13, 2023), the Commission alleged that Thayer misappropriated approximately $1.3 million from a client through fraudulent account transfers, violating the Securities Act, Exchange Act, and Advisers Act. | SEC-LR |
| 2023-06-07 | | Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services | SEC-PR |
| 2023-06-06 | | SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected | SEC-PR |
| 2023-05-30 | | SEC v. Engler, No. 25738 (E.D.N.Y. May 30, 2023), defs:body | SEC-LR |
| 2023-05-24 | | SEC v. Eleazar Kauderer (S.D.N.Y. May 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-19 | | SEC v. Daniel E. Levin, No. 25731 (S.D.N.Y. May 19, 2023), U | SEC-LR |