Tag: 12-b
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...