SEC Charges Former Energy Company President with Acting as Figurehead for $15 Million Fraud

September 11, 2018

SmartStop REIT Eliminates Acquisition Fees, Increases Asset Management Fee

September 10, 2018

SEC Charges Former Raymond James Branch Manager for Facilitating $21 Million Fraud

September 7, 2018

Senate Confirms Elad Roisman as Fifth SEC Commissioner

September 6, 2018

SEC Charges Cannabis Investment Fund and Founder with Defrauding Investors

September 6, 2018

Hines Global REIT Declares Liquidating Distribution

September 5, 2018

Strategic Student & Senior Housing Trust Buys Portland Senior Housing Community for $92 Million

September 5, 2018

Hines Global REIT Sells $360 Million Logistics Portfolio to Blackstone Affiliate

September 4, 2018

SEC Charges Two Kentucky Men in Oil-And-Gas Offering Fraud

September 4, 2018

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

August 31, 2018

SEC Charges Advisory Firm and Principal with Fraud for Associating with Barred Adviser

August 31, 2018

Transamerica Entities to Pay $97 Million to Investors Over QI Model Errors

August 29, 2018

SEC Chairman Clayton: Broker Sales Contests Should Be Eliminated

August 23, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors

August 21, 2018

SEC: Merrill Lynch to Pay $8.9 Million for Undisclosed Conflict in Advisory Decision

August 21, 2018

SEC Declares Procaccianti Hotel REIT Offering Effective

August 17, 2018

SEC Fines Ameriprise $4.5 Million for Failing to Prevent Theft by Five Brokers

August 16, 2018

SEC Charges Former UBS Broker in $4 Million Scam Targeting Brokerage Customers

August 10, 2018

Massachusetts Regulator Blasts SEC Best Interest Proposal, Threatens State Rule

August 8, 2018

SEC Obtains Final Judgment Against Hedge Fund Fraudster

August 7, 2018