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SEC Enforcement Actions Increase 9% in 2022, Record Monetary Penalties Issued

The Securities and Exchange Commission announced that it filed 760 total enforcement actions during fiscal year 2022, a 9% increase over 2021. Monetary penalties...

SEC Loses Legal Battle Against Tennessee RIA

After three years in a legal battle with the Securities and Exchange Commission, CapWealth Advisors found favor from a jury in Tennessee’s middle district. The...