| | In re COMMONWEALTH | SEC-PR |
| | In re AMAROQ ASSET | SEC-PR |
| | SEC v. Alan Burak, No. 26256 (S.D.N.Y. Feb. 26, 2025), U | SEC-LR |
| | Press Release: SEC Seniors Summit To Tackle Identifying, Stopping Investment Scams Against Senior Citizens | SEC-PR |
| | Jay S. Lucas and Lucas Brand Equity, LLC | SEC-PR |
| | Pr2022 156 Table | SEC-PR |
| | Press Release: SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund | SEC-PR |
| | Press Release: SEC Votes to Adopt Antifraud Rule Under Investment Advisers Act | SEC-PR |
| | Press Release: SEC Brings Fraud Charges Against San Francisco Hedge Fund Manager | SEC-PR |
| | Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action | SEC-PR |
| | This is a reference copy of Form PF. You may not send a completed printout of this form to the SEC to satisfy a | SEC-PR |
| | Mutual Fund Class A – Point of Sale | SEC-PR |
| | OCR_UNRECOVERABLE method=recover reason=missing_pdf ts=2026-05-14T22:54:33.773Z | SEC-PR |
| | Connecticut Department of Banking and SEC Announce Enforcement Actions Against David M. Faubert | SEC-PR |
| | Press Release: "Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors | SEC-PR |
| | Press Release: SEC Partners With State of Hawaii to Charge Honolulu-Based Adviser With Defrauding Seniors | SEC-PR |
| | SEC Charges Thomas W. Jones and Lewis E. Daidone with Fraud Relating to Creation of Affiliated Transfer Agent to Serve Citigroup Mutual Funds | SEC-PR |
| | Press Release: SEC Approves FINRA Rule Governing Sales Practices of Deferred Variable Annuities | SEC-PR |
| | Robert L. Murray, Jr. | SEC-PR |
| | Press Release: SEC Charges Brokerage Firms and Former Branch Supervisor for Failing to Supervise Former Registered Representative Who Defrauded Customers, Including Seniors | SEC-PR |
| | Press Release: SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund | SEC-PR |
| | Since its initial adoption in 1962, Rule 206(4)-2 under the Advisers Act (the “current custody | SEC-PR |
| | Press Release: HSBC Bank Settles SEC Charges and Agrees to Pay $10.5 Million | SEC-PR |
| | Many advisers engage service providers to perform functions that can benefit advisers and | SEC-PR |
| | Private funds and their advisers play an important role in our financial markets, and | SEC-PR |
| | In re PUTNAM INVESTMENT | SEC-PR |
| | In re DETWILER | SEC-PR |
| | Comp Pr2015 242 | SEC-PR |
| | Press Release: SEC Charges Former NFL Player for Violations of Investment Adviser Regulations | SEC-PR |
| | With more than $18 trillion in gross assets, private funds and their advisers play an important role in our financial | SEC-PR |
| | SHORT STATEMENT TITLE | SEC-PR |
| | In re JAMES X. McCARTY | SEC-PR |
| 2026-04-09 | | SEC v. Backswing Ventures Gp LLC (S.D.N.Y. Apr. 9, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-04-09 | | Backswing Ventures GP LLC and Kyle James Asman | SEC-LR |
| 2026-04-07 | | In re Empower Advisory Group | SEC-PR |
| 2026-04-07 | | In re SOURCEROCK GROUP | SEC-PR |
| 2026-04-06 | | Securities and Exchange Commission v. Higgins, No. 2:26-cv-00676 (D. Or. Apr. 6, 2026), alleged misappropriation of over $800,000 in securities from twelve clients through a sham investment program and falsified documentation | SEC-LR |
| 2026-04-03 | | SEC v. VINCENT J. CAMARDA (S.D.N.Y. Apr. 3, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-04-02 | | The Estate of John R. Brodacki, III and Castle Hill Financial Group, LLC | SEC-LR |
| 2026-03-31 | | Eliseo Jojo Prisno and P/e : Hon. Jorge l. Alonso | SEC-LR |
| 2026-03-31 | | Securities and Exchange Commission v. Prisno et al., No. 25-civ-07491 (N.D. Ill. July 3, 2025), ordered to pay disgorgement and civil penalties for allegedly charging unauthorized and undisclosed fees to over 200 advisory clients by accessing their accounts without consent | SEC-LR |
| 2026-03-31 | | Eliseo Jojo Prisno and P/e : Hon. Jorge l. Alonso | SEC-LR |
| 2026-03-30 | | SEC v. Titanium Capital LLC (S.D.N.Y. Mar. 30, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-30 | | SEC v. Titanium Capital LLC (S.D.N.Y. Mar. 30, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-27 | | Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network | SEC-LR |
| 2026-03-27 | | Final Judgment As To Commonwealth Equity Services, LLC | SEC-LR |
| 2026-03-24 | | Securities and Exchange Commission v. Frost, No. 8:19-cv-01559-SPG-JDE (C.D. Cal. Aug. 13, 2019), ordered to pay a $150,000 civil penalty for defrauding five private venture capital funds by charging undisclosed and excessive incubator fees in breach of fiduciary duties | SEC-LR |
| 2026-03-24 | | Securities and Exchange Commission v. Frost, et al., No. 8:19-cv-01559 (C.D. Cal. Aug. 13, 2019), alleged that defendants, an investment adviser and its sole owner, defrauded private venture capital funds and their investors by charging undisclosed and excessive incubator fees and improper management fees, diverting over $14 million for personal use. | SEC-LR |
| 2026-03-19 | | United States v. Thom, No. 26-cr-123 (S.D.N.Y. Mar. 19, 2026), pleaded guilty to investment adviser fraud by misrepresenting himself as a licensed trader and diverting nearly $800,000 from social media followers for personal use | DOJ-SDNY |
| 2026-03-18 | | SEC v. Welsh, No. 26503 (S.D.N.Y. Oct. 28, 2021), defs:body | SEC-LR |
| 2026-03-09 | | Judgment As To Defendant Randall J Miller | SEC-LR |
| 2026-03-06 | | Matthew J. Werthe, dba HSR Wealth Management | SEC-LR |
| 2026-03-06 | | SEC v. MATTHEW J. WERTHE dba HSR (S.D.N.Y. Mar. 6, 2026), defs:body | SEC-LR |
| 2026-03-06 | | SEC v. MATTHEW J. WERTHE dba HSR (S.D.N.Y. Mar. 6, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-04 | | United States v. Cohen (S.D.N.Y. Mar. 4, 2026), United States convicted Darryl Cohen of a scheme to defraud three professional basketball players of more than $5 million. | DOJ-SDNY |
| 2026-02-27 | | SEC v. Abarbanel, No. 21‑CV‑5429 (S.D.N.Y. Feb. 25, 2026), Defendant was permanently restrained and enjoined from violating securities laws, including Section 10(b) of the Exchange Act, Rule 10b‑5, Section 17(a) of the Securities Act, and Sections 206 of the Investment Advisers Act. | SEC-LR |
| 2026-02-27 | | Securities and Exchange Commission v. Abarbanel et al., No. 21-cv-05429 (S.D.N.Y. June 21, 2021), final consent judgment entered Feb. 25, 2026, ordering disgorgement of $106.5 million plus interest, offset by criminal forfeiture and restitution, and permanently enjoining defendant from future securities law violations | SEC-LR |
| 2026-02-27 | | In re OFER ABARBANEL (S.D.N.Y. Feb. 27, 2026), [OCR_UNRECOVERABLE method=recover reason=missing_pdf ts=2026-05-31T12:25:02 | SEC-LR |
| 2026-02-19 | | In re Thakkar CPA (S.D.N.Y. Feb. 19, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-02-19 | | SEC v. Cutter Financial Group (S.D.N.Y. Feb. 19, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-19 | | SEC v. Bluesky Eagle Capital (S.D.N.Y. Feb. 19, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-19 | | SEC v. Bluesky Eagle Capital Management Ltd., No. 1:25-cv-09507-AS (S.D.N.Y. Feb. 11, 2026), the SEC obtained a final judgment by default ordering Bluesky Eagle to pay a $1,182,254 civil penalty and permanently enjoining it from filing Form ADV as an exempt reporting adviser. | SEC-LR |
| 2026-02-19 | | Cutter Financial Group, LLC and Jeffrey Cutter | SEC-LR |
| 2026-02-19 | | SEC v. Bluesky Eagle Capital Management Ltd., No. 25-cv-09507 (S.D.N.Y. Nov. 13, 2025), SEC alleged that Bluesky made material misrepresentations in its Form ADV about its organization, assets under management, and executives, violating Sections 204(a) and 207 of the Investment Advisers Act. | SEC-LR |
| 2026-02-11 | | Securities and Exchange Commission v. Gessin et al., No. 8:23-cv-00460 (C.D. Cal. Mar. 14, 2023), defendants ordered to pay disgorgement and prejudgment interest totaling $1,640,923 and civil penalties, and permanently enjoined from violating federal securities laws and participating in securities offerings | SEC-LR |
| 2026-02-10 | | Securities and Exchange Commission v. Barrington Asset Management, Inc., et al., No. 21-cv-3450 (N.D. Ill. June 28, 2021), SEC dismissed civil enforcement action and instituted settled administrative proceeding against investment adviser and its compliance officer for alleged violations of federal securities laws | SEC-LR |
| 2026-02-10 | | SEC v. Gregory David Paris et al., No. 21-cv-3450 (N.D. Ill. June 28, 2021), SEC alleged that Paris and Barrington Asset Management engaged in a fraudulent cherry‑picking scheme that misappropriated client profits and violated antifraud securities statutes. | SEC-LR |
| 2026-02-10 | | In re Barrington Asset, No. 104793 (S.D.N.Y. Feb. 10, 2026), SECURITIES EXCHANGE ACT OF 1934 | SEC-LR |
| 2026-02-05 | | SEC v. Marat Likhtenstein, No. 25-civ-05412 (E.D.N.Y. Sept. 26, 2025), the SEC alleged that Likhtenstein, acting as an investment adviser, conducted an offering fraud scheme that raised over $4 million from clients and misappropriated the proceeds. | SEC-LR |
| 2026-02-04 | | Securities and Exchange Commission v. Ejiro Ode Okuma, No. 1:26-cv-00561-MHC (N.D. Ga. Jan. 30, 2026), alleged that the investment adviser misappropriated over $9.8 million from an elderly client by fraudulently transferring assets, concealing the theft through forged credentials and impersonation, and using the funds for personal luxury expenditures. | SEC-LR |
| 2026-02-04 | | SEC v. Ejiro Ode Okuma, No. 1:26-cv- (S.D.N.Y. Feb. 4, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-01-23 | | SEC v. Joel B. Sofia, No. 26‑civ‑632 (D.N.J. Jan. 20, 2026), SEC alleged that Sofia, an unregistered investment adviser, made material misrepresentations to clients and caused over $1.6 million in losses. | SEC-LR |
| 2026-01-23 | | SEC v. JOEL B. SOFIA (S.D.N.Y. Jan. 23, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-01-06 | | SEC v. BERNARDO MENDIA-ALCARAZ (a/k/a | SEC-LR |
| 2025-12-19 | | SEC v. Scott Jeffrey Mason (S.D.N.Y. Dec. 19, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-19 | | SEC v. Scott Jeffrey Mason (S.D.N.Y. Dec. 19, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-19 | | SEC v. Mason, No. 26451 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-19 | | SEC v. Scott Jeffrey Mason (S.D.N.Y. Dec. 19, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-17 | | Securities and Exchange Commission v. Mina Tadrus, No. 23 Civ. 5708 (E.D.N.Y. Dec. 12, 2025), ordered to pay no monetary penalty but permanently enjoined from violating Sections 10(b), 17(a), and 206 of the federal securities laws | SEC-LR |
| 2025-12-12 | | SEC v. MARSHALL E. MELTON and (S.D.N.Y. Dec. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-11 | | United States v. Rinsch, No. 23-cr-587 (S.D.N.Y. Dec. 11, 2025), convicted of wire fraud and money laundering after diverting $11 million intended for a television show to speculative stock and cryptocurrency trades and personal expenses | DOJ-SDNY |
| 2025-12-05 | | SEC v. Shahin Ahmed, No. 1:25-cv-06730 (E.D.N.Y. Dec. 5, 2025), the SEC alleged Ahmed defrauded three investors of over $1 million by posing as a professional money manager and misappropriating their funds. | SEC-LR |
| 2025-12-05 | | SEC v. SHAHIN AHMED (S.D.N.Y. Dec. 5, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-05 | | SEC v. GREGOIRE P. TOURNANT (S.D.N.Y. Dec. 5, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-05 | | SEC v. GREGOIRE P. TOURNANT (S.D.N.Y. Dec. 5, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-05 | | SEC v. GREGOIRE P. TOURNANT (S.D.N.Y. Dec. 5, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-05 | | SEC v. J.P. Morgan Securities Inc., No. 26434 (S.D.N.Y. Dec. 5, 2025), U | SEC-LR |
| 2025-12-03 | | Yida Gao and Shima Capital Management LLC | SEC-LR |
| 2025-12-03 | | Securities and Exchange Commission v. Corbman, No. 1:25-cv-01630 (E.D. Va. Sept. 29, 2025), obtained final judgment against former registered representative and investment adviser for conducting a $4.15 million fraudulent scheme by misrepresenting investment returns and misappropriating investor funds | SEC-LR |
| 2025-12-03 | | Securities and Exchange Commission v. Corbman, No. 1:25-cv-01630-MSN-IDD (E.D. Va. Oct. 3, 2025), permanently enjoined from violating Sections 10(b) and 17(a) of the Securities Exchange Act and Securities Act by employing fraudulent schemes, making false or misleading statements to investors, and misappropriating funds | SEC-LR |
| 2025-12-03 | | SEC v. Jury Trial Demanded (S.D.N.Y. Dec. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-19 | | Plaintiff, the United States Securities and Exchange Commission (the “SEC”), alleges as | SEC-LR |
| 2025-11-19 | | Securities and Exchange Commission v. Nohl, et al., No. 3:19-cv-00809-wmc (W.D. Wis. Aug. 2, 2022), jury found defendants liable for violations of Sections 10(b) and 17(a) of the securities laws and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act through fraudulent schemes involving misrepresentations to investors | SEC-LR |
| 2025-11-19 | | It Is Ordered and Adjudgeid that judgment is entered in favor of plaintiff | SEC-LR |
| 2025-11-19 | | SEC v. Bluepoint Investment Counsel, No. 26422 (S.D.N.Y. Oct. 6, 2025), llm-upgrade | SEC-LR |
| 2025-11-17 | | SEC v. Bluesky Eagle Capital Management Ltd., No. 26416 (S.D.N.Y. Nov. 13, 2025), U | SEC-LR |
| 2025-11-17 | | SEC v. Adamant Stone Limited, No. 1:25-cv-03645 (S.D.N.Y. Nov. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-17 | | Securities and Exchange Commission v. Supreme Power Capital Management Ltd., No. 1:25-cv-09505 (S.D.N.Y. Nov. 13, 2025), alleged that the defendant made material misrepresentations in its Form ADV regarding its organization, office location, assets under management, and clients, and failed to substantiate such claims upon request by the Commission | SEC-LR |
| 2025-11-17 | | SEC v. Ai Investment Education Foundation Ltd., No. 1:25-cv-03650 (S.D.N.Y. Nov. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-17 | | SEC v. Ai Financial Education Foundation Ltd., No. 1:25-cv-03649 (S.D.N.Y. Nov. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-29 | | against defendants: Prophecy Asset Management, LP (“PAM”), whose last known address is 641 | SEC-LR |
| 2025-09-29 | | SEC v. Prophecy Asset Management, No. 26414 (S.D.N.Y. Sept. 29, 2025), U | SEC-LR |
| 2025-09-23 | | HEREAS, on September 14, 2001, the Court entered permanent injunctive relief as to | SEC-LR |
| 2025-09-22 | | SEC v. Pathyam Patel, No. 26406 (S.D.N.Y. Sept. 19, 2025), U | SEC-LR |
| 2025-09-11 | | MARC J. JONES (Mass. Bar No. 645910, pro hac vice applied for herewith) | SEC-LR |
| 2025-09-11 | | SEC v. Wu, No. 26398 (S.D.N.Y. Sept. 11, 2025), U | SEC-LR |
| 2025-09-11 | | SEC v. JIAN WU (S.D.N.Y. Sept. 11, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-11 | | SEC v. Parker Terrill Austin and Embarcadero Capital Advisors, No. 26395 (S.D.N.Y. Sept. 10, 2025), U | SEC-LR |
| 2025-09-09 | | SEC v. Tomislav Vukota, No. 26393 (S.D.N.Y. Sept. 9, 2025), llm-upgrade | SEC-LR |
| 2025-09-09 | | SEC v. Vukota Capital Management, No. 1:25-cv-02821 (S.D.N.Y. Sept. 9, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-26 | | SEC v. James D. Burleson, No. 26385 (S.D.N.Y. Nov. 21, 2024), U | SEC-LR |
| 2025-08-22 | | SEC v. Robert M. Thompson et al., No. 24-5032-CV-SW-MDH (W.D. Mo. Aug. 14, 2025), the court entered a default judgment against Robert M. Thompson and the Financial Freedom Foundation. | SEC-LR |
| 2025-08-22 | | In the United States District Court for the | SEC-LR |
| 2025-08-21 | | SEC v. KENNETH THOM, No. 09-02623 (S.D.N.Y. Aug. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-21 | | SEC v. Thom, No. 26381 (S.D.N.Y. Aug. 21, 2025), U | SEC-LR |
| 2025-08-21 | | Suspended Broker Charged for Online Investment Fraud | DOJ-SDNY |
| 2025-08-18 | | SEC v. The Estate of Stephen Romney Swensen, No. 26377 (S.D.N.Y. Oct. 14, 2022), defs:body | SEC-LR |
| 2025-08-15 | | SEC v. JORDAN CHIRICO, No. 24-2-10753-3 (S.D.N.Y. Aug. 15, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-04 | | SEC v. David J. Feingold, No. 26366 (S.D.N.Y. Jan. 29, 2025), Information, llm-upgrade | SEC-LR |
| 2025-07-29 | | SEC v. CAZ L. CRAFFY, No. 23-CV-3 (S.D.N.Y. Jul. 29, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-29 | | SEC v. Caz L. Craffy, No. 26363 (S.D.N.Y. Jul. 29, 2025), U | SEC-LR |
| 2025-07-21 | | SEC v. JOSEPH J. D’AMBROSIO | SEC-LR |
| 2025-07-21 | | Securities and Exchange Commission v. D’Ambrosio, No. 1:25-cv-05884 (S.D.N.Y. July 17, 2025), alleged to have orchestrated a multi-year investment fraud by misappropriating approximately $5.5 million from investors through Hereford Holdings, L.L.C., and concealing the fraud with false statements about investment performance | SEC-LR |
| 2025-07-21 | | SEC v. JOSEPH J. D’AMBROSIO | SEC-LR |
| 2025-07-17 | | United States v. D’Ambrosio, No. 25-cr-345 (S.D.N.Y. July 17, 2025), pleaded guilty to investment adviser fraud for misappropriating over $5 million from friends and family through a Ponzi-like scheme using false performance reports and fraudulent tax documents | DOJ-SDNY |
| 2025-07-11 | | SEC v. PINNACLE ADVISORS (S.D.N.Y. May 5, 2023), defs:caption | SEC-LR |
| 2025-07-11 | | SEC v. Pinnacle Advisors, No. 26347 (S.D.N.Y. May 5, 2023), llm-upgrade | SEC-LR |
| 2025-07-09 | | SEC v. NICHOLAS A. PALAZZO, No. 5:24-cv- (S.D.N.Y. Jul. 9, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-09 | | SEC v. Cobb, No. 26342 (S.D.N.Y. Dec. 12, 2024), U | SEC-LR |
| 2025-07-03 | | Eliseo Jojo Prisno and P/e : Jury Trial Demanded | SEC-LR |
| 2025-07-03 | | Securities and Exchange Commission v. Eliseo Prisno (a/k/a Jojo Prisno) and PE Capital Investment Management Partners, No. 25-civ- (N.D. Ill. July 3, 2025), SEC alleged that Eliseo Prisno and PE Capital Investment Management Partners charged over $2.4 million in unauthorized and undisclosed fees to clients through deceptive practices, including using clients’ login credentials without consent. | SEC-LR |
| 2025-07-01 | | SEC v. Caine et al., No. 1:21-cv-02859 (N.D. Ill. June 30, 2025), the court permanently enjoined the defendants from violating Section 10(b) of the Securities Exchange Act and Section 17(a) of the Securities Act. | SEC-LR |
| 2025-07-01 | | Ljm Funds Management, Ltd., and Ljm Partners, Ltd. | SEC-LR |
| 2025-07-01 | | SEC v. Anthony Caine, No. 26338 (S.D.N.Y. May 27, 2021), llm-upgrade | SEC-LR |
| 2025-06-26 | | SEC v. Alexander, No. 1:25-cv-00242 (D.N.H. Jun. 26, 2025), alleged that Robynne Alexander defrauded investors by misappropriating over $4 million raised through false representations about real estate investment projects, using new investor funds to pay fake returns and personal expenses, and failing to provide accurate disclosures or maintain proper records, resulting in at least $3 million in损失 | SEC-LR |
| 2025-06-17 | | SEC v. Brite Advisors USA, No. 23-CV-10212 (S.D.N.Y. Jun. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-17 | | SEC v. El Capitan Advisors, Inc. et al., No. 2:25-cv-05066 (C.D. Cal. June 4, 2025), SEC alleged that the defendants fraudulently misappropriated $15.3 million of advisory client funds. | SEC-LR |
| 2025-06-17 | | SEC v. Andrew Daniel Nash and El Capitan Advisors, No. 26327 (S.D.N.Y. Jun. 17, 2025), U | SEC-LR |
| 2025-06-17 | | SEC v. Brite Advisors USA, No. 26329 (S.D.N.Y. Nov. 21, 2023), Judgment, llm-upgrade | SEC-LR |
| 2025-06-04 | | SEC v. DAVID A. NAGLER, No. 25-cv-516 (S.D.N.Y. Jun. 4, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-04 | | SEC v. New Line Capital, No. 26319 (S.D.N.Y. Jun. 4, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-29 | | SEC v. Kronus Financial Corporation, No. 26317 (S.D.N.Y. May 29, 2025), U | SEC-LR |
| 2025-05-29 | | SEC v. Kronus Financial Corporation, No. 5593 (S.D.N.Y. May 29, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-09 | | Safeguard Metals LLC and Jeffrey Ikahn (f/k/a Jeffrey S. Santulan) | SEC-LR |
| 2025-05-09 | | Safeguard Metals LLC (“Defendant”) having entered a general appearance; consented to the | SEC-LR |
| 2025-05-09 | | Securities and Exchange Commission v. Jeffrey Ikahn, No. 2:22-cv-00693 (C.D. Cal. May 2, 2025), entered final judgment permanently enjoining defendant from violating Sections 10(b) and 206(1)–(2) of the federal securities laws by engaging in fraudulent conduct in connection with securities transactions and investment advisory services | SEC-LR |
| 2025-05-07 | | SEC v. RICHARD T. KIM (S.D.N.Y. May 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-01 | | SEC v. Derek Taller, No. 26300 (S.D.N.Y. May 1, 2025), U | SEC-LR |
| 2025-05-01 | | SEC v. DEREK R. TALLER (S.D.N.Y. May 1, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-30 | | Jenni Yoon Jeong Lee (a/k/a Jenni Lee Or Yoon Jeong Lee); Evergreen Property Developments LLC | SEC-LR |
| 2025-04-21 | | SEC v. DAVID J. FEINGOLD, No. 1:25-cv-20436-DPG (S.D.N.Y. Apr. 21, 2025), defs:body | SEC-LR |
| 2025-04-15 | | SEC v. David Yow Shang Chiueh and, No. 3-20664 (S.D.N.Y. Apr. 15, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-04-15 | | In re UPRIGHT, No. 11010 (S.D.N.Y. Apr. 15, 2025), SECURITIES ACT OF 1933 | SEC-LR |
| 2025-04-15 | | SEC v. David Yow Shang Chiueh and Upright Financial Corp., No. 26286 (S.D.N.Y. Mar. 17, 2025), U | SEC-LR |
| 2025-03-20 | | SEC v. Cambridge Investment Research Advisors, No. 26274 (S.D.N.Y. Mar. 1, 2022), defs:body | SEC-LR |
| 2025-03-20 | | SEC v. Cambridge Investment Research, No. 4:22-cv-00071-SMR-SBJ (S.D.N.Y. Mar. 20, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-20 | | Plaintiff, the United States Securities and Exchange Commission (the “SEC”), alleges as | SEC-LR |
| 2025-03-19 | | United States v. Lisa Schiff, S.D.N.Y. Mar. 19, 2025, United States sentenced Lisa Schiff to 30 months in prison for a multi‑year scheme that defrauded art‑advisory clients of approximately $6.5 million. | DOJ-SDNY |
| 2025-03-17 | | SEC v. David Yow Shang Chiueh and Upright Financial Corp., No. 26270 (S.D.N.Y. Mar. 17, 2025), U | SEC-LR |
| 2025-03-17 | | SEC v. David Yow Shang Chiueh and, No. 3-20664 (S.D.N.Y. Mar. 17, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-03-17 | | SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations | SEC-PR |
| 2025-03-10 | | SEC v. Peter Stuart, No. 26263 (S.D.N.Y. Mar. 7, 2025), defs:body | SEC-LR |
| 2025-03-07 | | In re MOMENTUM ADVISORS | SEC-PR |
| 2025-03-07 | | In re TIFFANY L. HAWKINS | SEC-PR |
| 2025-03-07 | | SEC Charges Investment Adviser and Two Officers for Misuse of Fund and Portfolio Company Assets | SEC-PR |
| 2025-02-21 | | SEC v. ELCHONON SCHWARTZ and, No. 457868 (S.D.N.Y. Feb. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-14 | | In re One Oak Capital | SEC-PR |
| 2025-02-05 | | SEC v. Steven J Susoeff Consent Judgment, No. 240398 (S.D.N.Y. Feb. 5, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-02-05 | | SEC v. Steven J. Susoeff and Steve Susoeff, No. 26239 (S.D.N.Y. Feb. 5, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-05 | | Securities and Exchange Commission v. Steven J. Susoeff and Steve Susoeff, LLC, No. 2:23-cv-00173 (D. Nev. Feb. 1, 2023), alleged that defendants engaged in a cherry-picking scheme by selectively allocating profitable and unprofitable trades to favored and disfavored client accounts, breaching their fiduciary duties under federal securities laws. | SEC-LR |
| 2025-01-17 | | and-desist proceedings be, and hereby are, instituted pursuant to Section 8A of the Securities Act | SEC-PR |
| 2025-01-17 | | SEC v. Scott Jeffrey Mason, No. 2:25-cv-00292 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | SEC v. American Equities, No. 26225 (S.D.N.Y. Apr. 27, 2022), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | In re The Vanguard Group | SEC-PR |
| 2025-01-17 | | SEC v. NAUFAL SANAULLAH, No. 2:22-cv-11073 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | In re MERRILL LYNCH | SEC-PR |
| 2025-01-17 | | In re Wells Fargo Clearing | SEC-PR |
| 2025-01-17 | | SEC v. Scott Jeffrey Mason, No. 26224 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | SEC v. Naufal Sanaullah, No. 26227 (S.D.N.Y. Jan. 17, 2025), U | SEC-LR |
| 2025-01-16 | | In re TWO SIGMA | SEC-PR |
| 2025-01-14 | | In re Vcp Financial LLC | SEC-PR |
| 2025-01-14 | | In re Navy Capital Green | SEC-PR |
| 2025-01-13 | | Securities and Exchange Commission v. Carlyle Investment Management L.L.C. et al., No. 3-22403 (S.E.C. Jan. 13, 2025), ordered to pay penalties and cease violations of recordkeeping requirements for failing to preserve off-channel communications related to investment advice and portfolio performance | SEC-PR |
| 2025-01-13 | | Securities and Exchange Commission v. Blackstone Alternative Credit Advisors LP et al., No. 3-22399 (S.E.C. Jan. 13, 2025), ordered to pay penalties and cease violations of recordkeeping and supervision requirements under the Investment Advisers Act of 1940 | SEC-PR |
| 2025-01-13 | | In re TPG Capital Advisors | SEC-PR |
| 2025-01-13 | | SEC v. Apollo Capital Management, L.P., File No. 3-22402 (S.E.C. Jan. 13, 2025), pleaded guilty to failing to maintain and preserve off-channel communications related to advisory business, in violation of Section 204 of the Investment Advisers Act of 1940 and Rule 204-2(a)(7) | SEC-PR |
| 2025-01-07 | | SEC v. LEENA JAITLEY, No. 1:21-cv-832 (S.D.N.Y. Jan. 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-01 | | SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors | SEC-PR |
| 2025-01-01 | | SEC v. ALAN BURAK (S.D.N.Y. Jan. 1, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-01 | | SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs | SEC-PR |
| 2025-01-01 | | SEC Charges Alan Burak, Founder of Never Alone Capital, with Fraud | SEC-PR |
| 2025-01-01 | | SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models | SEC-PR |
| 2025-01-01 | | SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients | SEC-PR |
| 2025-01-01 | | SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients | SEC-PR |
| 2024-12-23 | | SEC v. Dolphin Associates Iii, No. 645910 (S.D.N.Y. Dec. 23, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-23 | | SEC v. Dolphin Associates III, No. 26203 (S.D.N.Y. Dec. 23, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-20 | | SEC v. Eric Mckenzie Cobb, No. 16 (S.D.N.Y. Dec. 20, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-20 | | Securities and Exchange Commission v. Silver Point Capital, L.P., No. 3:24-cv-02018 (D. Conn. Dec. 20, 2024), alleged failures to establish and enforce reasonably designed policies to prevent misuse of material nonpublic information by a consultant with access to confidential negotiations, resulting in unlawful trading on MNPI | SEC-LR |
| 2024-12-20 | | SEC v. Eric McKenzie Cobb, No. 26201 (S.D.N.Y. Dec. 12, 2024), U | SEC-LR |
| 2024-12-12 | | In re SEACREST WEALTH | SEC-PR |