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Biden to Name MIT Professor and Former CFTC Chairman to Head...

President-elect Joe Biden is expected to name MIT professor Gary Gensler as chair of the Securities and Exchange Commission, according to a Reuters report...

SEC Obtains Asset Freeze Against California Couple to Stop Alleged Investment...

The Securities and Exchange Commission has obtained an emergency court order freezing assets of a San Juan Capistrano, California-based company and its founder, who...

SEC Charges Utah Company, its Principals, and Two Recidivists with Securities...

The Securities and Exchange Commission has settled charges against a Utah corporation, its principals, and two securities fraud recidivists for allegedly orchestrating two inter-related...

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

The Securities and Exchange Commission has obtained a final judgment against former Morgan Stanley Smith Barney broker, Barry F. Connell, who was previously charged...

SEC Charges New York Man with Defrauding Police and Firefighters in...

The Securities and Exchange Commission has charged Gregory Altieri of Melville, New York with allegedly operating a Ponzi-like scheme that defrauded current and retired...

Voya to Pay $23 Million to Settle SEC Charges

The Securities and Exchange Commission has ordered Voya Financial Advisors to pay nearly $23 million to settle charges that it breached its fiduciary duties...

SEC Adopts Modernized Marketing Rule for RIAs

The Securities and Exchange Commission has finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to...

SEC Updates Fund Valuation Practices

The Securities and Exchange Commission plans to adopt a new rule that establishes what it claims is an updated regulatory framework for fund valuation...

SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi...

The Securities and Exchange Commission has barred adviser Craig Rumbaugh for recommending that eight of his clients invest more than $3 million in a...

SEC Charges Fugitive Atlanta Adviser with Fraudulent Securities Offering

The Securities and Exchange Commission has charged Atlanta-based investment adviser and radio show host Christopher Burns with defrauding investors and misappropriating investor funds. Earlier this...