Government ❯Regulatory Agencies ❯Securities and Exchange Commission ❯Enforcement Actions

Investor Protection

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

SEC action includes freezing Brant Frost IV’s assets with a court petition to appoint a receiver following First Liberty’s operational halt.

Robinhood Pays $45 Million to Resolve SEC Violations

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

Galois Capital Settles SEC Charges with $225K Fine

Short Seller Andrew Left Faces SEC and DOJ Fraud Charges