15 U.S.C. § 80b-6 — statute detail

15 U.S.C. § 80b-6

investment-adviser fraud — Advisers Act § 206

Securities

Section 206 of the Investment Advisers Act of 1940: prohibits an adviser from defrauding clients or engaging in deceptive practices.

2,234

documents charge this statute

1

associated schemes

1

structural heuristics

scheme mix in corpus: Investment Adviser Fraud 1,082Ponzi 449Unregistered Securities Offering 287Broker-Dealer Fraud 90Market Manipulation 57Financial-Statement Fraud 51Non-Corporate Fraud 36Pre-IPO Fraud 32Accounting / Disclosure Fraud 31Affinity Fraud 24Pump-and-Dump 19Boiler Room 13Corporate Disclosure Fraud 11Insider Trading 10other 9Public Corruption 9FCPA Violation 6unclassified 4Crypto / Digital-Asset Securities 4Advance-Fee Fraud 2Health Care Fraud 2Racketeering / RICO 2Cyber Fraud 1Delinquent Filer 1Obstruction of Justice 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

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 2,234

Kevin N. Richards litigation_release unregistered-securities Central District of California 2026-04-17 1.From at least November 2018 through May 2024, Defendant Sudheesh Nambiar complaint ponzi Northern District of California 2026-04-17 Sudheesh Nambiar litigation_release ponzi Northern District of California 2026-04-17 Backswing Ventures GP LLC and Kyle James Asman litigation_release investment-adviser-fraud Middle District of Florida 2026-04-09 SEC v. BACKSWING VENTURES GP LLC complaint investment-adviser-fraud Middle District of Florida 2026-04-09 SEC Announces Enforcement Results for Fiscal Year 2025 press_release unclassified Southern District of New York 2026-04-07 DUNCAN C. SIMPSON LAGOY (Cal. Bar No. 298776) complaint broker-dealer-fraud District of Oregon 2026-04-06 Jeffrey Higgins litigation_release investment-adviser-fraud District of Oregon 2026-04-06 SEC v. VINCENT J. CAMARDA complaint investment-adviser-fraud Eastern District of New York 2026-04-03 Vincent J. Camarda, James E. McArthur, and A.G. Morgan Financial Advisors, LLC litigation_release broker-dealer-fraud Eastern District of New York 2026-04-03 The Estate of John R. Brodacki, III and Castle Hill Financial Group, LLC litigation_release investment-adviser-fraud District of Massachusetts 2026-04-02 SEC v. PERSONAL REPRESENTATIVE OF complaint ponzi District of Massachusetts 2026-04-02 ELISEO JOJO PRISNO and P/E : Hon. Jorge L. Alonso judgment investment-adviser-fraud Northern District of Illinois 2026-03-31 Eliseo Prisno and P/E Capital Investment Management Partners litigation_release investment-adviser-fraud Northern District of Illinois 2026-03-31 ELISEO JOJO PRISNO and P/E : Hon. Jorge L. Alonso judgment investment-adviser-fraud Northern District of Illinois 2026-03-31 Krish Kumar litigation_release ponzi Northern District of Oklahoma 2026-03-27 Final Judgment As To Commonwealth Equity Services, LLC judgment investment-adviser-fraud District of Massachusetts 2026-03-27 this Complaint against Krish Kumar (“Kumar” or “Defendant”) and alleges as follows: complaint ponzi Northern District of Oklahoma 2026-03-27 209(e)(1) and 214 of the Investment Advisers Act of 1940 (“Advisers Act”) [15 complaint investment-adviser-fraud Central District of California 2026-03-24 Kenneth A. Welsh litigation_release investment-adviser-fraud District of New Jersey 2026-03-18 Final Judgment Against Kenneth A. Welsh judgment non-corporate District of New Jersey 2026-03-18 SEC v. MATTHEW J. WERTHE dba HSR pdf investment-adviser-fraud Southern District of California 2026-03-06 SEC v. MATTHEW J. WERTHE dba HSR judgment investment-adviser-fraud Southern District of California 2026-03-06 Matthew J. Werthe, dba HSR Wealth Management litigation_release investment-adviser-fraud Southern District of California 2026-03-06 Securities and Exchange Commission v. Ofer Abarbanel complaint ponzi Southern District of New York 2026-02-27 The United States Securities and Exchange Commission (“Commission”) having filed an judgment investment-adviser-fraud Southern District of New York 2026-02-27 Ofer Abarbanel litigation_release investment-adviser-fraud Southern District of New York 2026-02-27 SEC v. CUTTER FINANCIAL GROUP judgment investment-adviser-fraud District of Massachusetts 2026-02-19 Cutter Financial Group, LLC and Jeffrey Cutter litigation_release investment-adviser-fraud District of Massachusetts 2026-02-19 by Defendants Gregory David Paris (“Paris”) and Barrington Asset complaint investment-adviser-fraud Northern District of Illinois 2026-02-10 Marat Likhtenstein litigation_release investment-adviser-fraud Eastern District of New York 2026-02-05 SEC v. MARAT LIKHTENSTEIN complaint ponzi Eastern District of New York 2026-02-05 Ejiro Ode Okuma litigation_release investment-adviser-fraud Northern District of Georgia 2026-02-04 Securities and Exchange Commission v Ejiro Ode Okuma complaint investment-adviser-fraud Northern District of Georgia 2026-02-04 SEC v. JOEL B. SOFIA complaint investment-adviser-fraud District of New Jersey 2026-01-23 Joel B. Sofia litigation_release investment-adviser-fraud District of New Jersey 2026-01-23 SEC v. BERNARDO MENDIA-ALCARAZ (a/k/a complaint ponzi Northern District of California 2026-01-06 Bernardo Mendia-Alcaraz and Toltec Capital LLC litigation_release ponzi Northern District of California 2026-01-06 SEC v. BERNARDO MENDIA-ALCARAZ (a/k/a judgment investment-adviser-fraud Northern District of California 2026-01-06 SEC v. SCOTT JEFFREY MASON judgment investment-adviser-fraud Eastern District of Pennsylvania 2025-12-19

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