Government ❯Regulatory Agencies ❯Securities and Exchange Commission

Enforcement Actions

Investor Protection Indictments Legal Proceedings Civil Penalties Sanctions Corporate Accountability Wells Notices OpenSea Fines and Penalties Lawsuits Gubir Grewal Investor Fraud Fines Investigations Corporate Governance Crypto Industry Crypto Regulations Civil Charges Market Regulations Asset Freezes Asset Seizure

SEC Ends Decade-Long Prohibition on Allianz’s U.S. Operations Early

The regulator’s decision restores full U.S. market access for Allianz after it fulfilled all settlement requirements.

SEC Sues GOP-Linked Georgia Lender Over $140 Million Ponzi Scheme

SEC Sues Unicoin and Executives Over Alleged $100M Crypto Fraud

Former Kubient CEO Sentenced to Prison for Securities Fraud

SEC Reverses Course, Drops Key Crypto Lawsuits

Robinhood Reports Record Revenue and SEC Investigation Closure

Robinhood Pays $45 Million to Resolve SEC Violations

Judge Dismisses SEC Request to Sanction Elon Musk Over Missed Deposition

SEC Fines Four Tech Firms for Misleading SolarWinds Hack Disclosures

Crypto.com Challenges SEC in Major Legal Battle Over Jurisdiction

SEC Appeals Ripple Ruling, Citing Supreme Court Precedent Conflicts

Rari Capital Settles with SEC Over Misleading Investors and Unregistered Broker Activity

SEC Imposes $49M Fine on Six Major Credit Rating Agencies for Record-Keeping Failures

Galois Capital Settles SEC Charges with $225K Fine

SEC Charges Brothers in $60M Crypto Ponzi Scheme

Carl Icahn Settles SEC Charges Over Undisclosed Billions in Personal Loans

Andrew Left Pleads Not Guilty to Fraud Charges in High-Profile Case

Short Seller Andrew Left Faces SEC and DOJ Fraud Charges