U.S. Securities and Exchange Commission
181 records since March 12, 2026, newest first.
- SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
- SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
- Final Judgment - Caedrynn E. Conner
- Final Judgment - Robert D. Welsh
- Final Judgment - Raymond Dove
- Final Judgment - SQN Capital Management LLC
- Final Judgment - Jeremiah Silkowski
- Order Appointing Receiver
- SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
- SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
- SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
- SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
- SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
- Proposed Final Judgment
- Final Judgment - Michael Noble
- Final Judgment - Craig Grant
- Final Judgment - Trevon Brown
- Consent - Sunil Chandra
- Final Judgment - Sunil Chandra
- Consent - Robert Bernardi
- Final Judgment - Robert Bernardi
- SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
- Consent and Proposed Final Judgment
- Order Granting Motion for Default Judgment
- SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
- Consent of Defendant - Waldon Fenster
- Final Judgment - Parker Terrill Austin
- Final Judgment - Embarcadero Capital Advisors, Inc.
- SEC Memorandum of Law
- Final Judgment - Corey Ortiz
- SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
- Amended Order Granting SEC’s Application for Order Compelling Compliance with Administrative Subpoenas
- Modified Final Judgment
- Consent of Defendant Mayur Baviskar
- Final Judgment - Brian Keasberry
- Application of the Securities and Exchange Commission for Order Compelling Compliance With Administrative Subpoenas
- Memorandum of Law in Support of Application of the Securities and Exchange Commission for an Order Compelling Compliance With Administrative Subpoenas
- Consent of Defendant Virland A. Johnson
- Consent of Defendant Jon Isaac
- Proposed Final Judgment - Virland A. Johnson
- Proposed Final Judgment - Jon Isaac
- SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
- SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
- SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
- SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
- Default Judgment - Blaylock
- Joint Stipulation
- SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
- Dismissal - Fedor Kedrov
- Consent - Gotbit Consulting LLC