15 U.S.C. § 80b-3
adviser registration & sanctions — Advisers Act § 203
all statutes
Securities

Section 203 of the Investment Advisers Act: governs registration of advisers and authorizes SEC sanctions (§ 203(e)/(f)/(k)) for misconduct.

977
documents charge this statute
2
associated schemes
1
structural heuristics
scheme mix in corpus: Investment Adviser Fraud 619Broker-Dealer Fraud 85Unregistered Securities Offering 74Market Manipulation 49Non-Corporate Fraud 41Insider Trading 34Financial-Statement Fraud 20Ponzi 17Accounting / Disclosure Fraud 17Obstruction of Justice 4Cyber Fraud 4FCPA Violation 4Public Corruption 2Corporate Disclosure Fraud 2Pre-IPO Fraud 2unclassified 1Crypto / Digital-Asset Securities 1Pump-and-Dump 1

Fraud schemes charged under this statute

Investment Adviser Fraud form-presence

RIA or fund manager defrauds clients or misappropriates client assets.

rule / inferenceRIA custody disclosures, or an ADV-W withdrawal coinciding with the alleged conduct.
SEC filings ADVADV-EADV-WForm D
heuristicsfiler_agent_overlap
Broker-Dealer Fraud observation

Unregistered broker-dealer activity; filer/agent overlap with CRD records.

rule / inferenceOffering filings tied to an unregistered BD; filer/agent overlap (Form BD is CRD, non-EDGAR).
SEC filings Form D
heuristicsfiler_agent_overlap

What to look for in SEC filings

EDGAR form fingerprints across the associated schemes:

ADVADV-EADV-WForm D
filer_agent_overlapThe EDGAR filing agent overlaps with the issuer/promoter (or CRD record).

Documents citing this statute 977

In re Empower Advisory Group pdf investment-adviser-fraud 2026-04-07In re OFER ABARBANEL pdf investment-adviser-fraud Southern District of New York 2026-02-27In re Barrington Asset pdf investment-adviser-fraud 2026-02-10In re Resolute Capital Partners LTD pdf unregistered-securities 2025-12-15In re UPRIGHT pdf investment-adviser-fraud 2025-04-15In re TIFFANY L. HAWKINS pdf investment-adviser-fraud 2025-03-07In re MOMENTUM ADVISORS pdf investment-adviser-fraud 2025-03-07In re ONE OAK CAPITAL pdf investment-adviser-fraud 2025-02-14In re The Vanguard Group pdf investment-adviser-fraud Eastern District of Pennsylvania 2025-01-17In re LPL Financial LLC pdf broker-dealer-fraud 2025-01-17In re MERRILL LYNCH pdf investment-adviser-fraud 2025-01-17In re WELLS FARGO CLEARING pdf investment-adviser-fraud 2025-01-17In re TWO SIGMA pdf investment-adviser-fraud 2025-01-16In re NAVY CAPITAL GREEN pdf investment-adviser-fraud 2025-01-14In re JOSEPH J. ORLANDO JR. pdf unregistered-securities Southern District of New York 2025-01-14In re DANNY Z. SPIEGEL pdf broker-dealer-fraud Southern District of New York 2025-01-14"UNRECOVERABLE: Timeout During Enrichment" pdf unregistered-securities Southern District of New York 2025-01-14In re VCP FINANCIAL LLC pdf investment-adviser-fraud 2025-01-14In re Apollo Capital Management pdf investment-adviser-fraud 2025-01-13In re TPG Capital Advisors pdf investment-adviser-fraud 2025-01-13In re Carlyle Investment pdf investment-adviser-fraud 2025-01-13In re Charles Schwab & Co. pdf non-corporate 2025-01-13In re Kohlberg Kravis Roberts & pdf non-corporate 2025-01-13In re Blackstone Alternative pdf investment-adviser-fraud 2025-01-13In re LPL Financial LLC pdf broker-dealer-fraud 2024-12-20In re Wells Fargo Clearing Services pdf broker-dealer-fraud 2024-12-20In re DEUTSCHE BANK pdf broker-dealer-fraud Southern District of New York 2024-12-20In re SEACREST WEALTH pdf investment-adviser-fraud 2024-12-12In re Morgan Stanley Smith pdf investment-adviser-fraud 2024-12-09In re INVESCO ADVISERS pdf investment-adviser-fraud 2024-11-08In re J.P. Morgan Investment pdf investment-adviser-fraud 2024-10-31In re J.P. MORGAN SECURITIES pdf investment-adviser-fraud 2024-10-31[OCR_UNRECOVERABLE method=timeout reason=timeout_during_enrichment ts=2026-05-11T03:08:45.466Z] pdf investment-adviser-fraud 2024-10-31In re J.P. MORGAN SECURITIES pdf investment-adviser-fraud 2024-10-31In re WISDOMTREE ASSET pdf investment-adviser-fraud 2024-10-21"UNRECOVERABLE: Timeout During Enrichment" pdf unregistered-securities 2024-10-10In re MARATHON ASSET pdf insider-trading 2024-09-30"UNRECOVERABLE: Timeout During Enrichment" pdf investment-adviser-fraud 2024-09-26In re MERRILL LYNCH pdf investment-adviser-fraud 2024-09-25In re HARVEST VOLATILITY pdf investment-adviser-fraud 2024-09-25

Showing 40 of 977 — newest first.

DB — FS —