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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...

SEC “Gag Orders” Blasted by Federal Judge

U.S. District Judge Ronnie Abrams blasted the Securities and Exchange Commission’s policy that routinely requires defendants that agree to “no admit, no deny” settlements...

SEC Obtains Judgment Against Attorney Charged with Multi-Million Dollar Offering Fraud

The United States District Court for the Eastern District of New York has entered a final judgment against Shimon Rosenfeld, a Brooklyn-based attorney who...

Texas Supreme Court Denies Kyle Bass Petition to Review, UDF Lawsuit...

A lawsuit filed by United Development Funding L.P. against Kyle Bass and his hedge fund Hayman Capital will proceed in the trial court after...

SEC Charges Unregistered Broker Who Sold Woodbridge and 1 Global Fraudulent...

The Securities and Exchange Commission has charged Henry J. "Trae" Wieniewitz, III and his Knoxville, Tennessee-based company, Wieniewitz Financial LLC, for unlawfully offering and...