Government ❯ Regulatory Agencies ❯ Securities and Exchange Commission

Enforcement Actions

Investor Protection Legal Proceedings Civil Penalties Investigations Market Regulation Corporate Governance Indictments Sanctions Corporate Accountability Wells Notices

SEC Sues Tricolor Founder Daniel Chu Over Alleged Multiyear Auto‑Loan Fraud

Seeking disgorgement plus civil penalties, the SEC filed in Manhattan to recover funds from executives tied to the company’s collapse.

SEC Sues Mining Automatic Over Alleged $22M Crypto Mining Fraud

Judge Approves $1.5 Million SEC Settlement With Elon Musk Over Late Twitter Disclosure

Supreme Court Lets SEC Seek Disgorgement Without Proving Investor Loss

Supreme Court Bars Private Rescission Suits Under Investment Company Act

Supreme Court Lets SEC Seek Disgorgement Without Proving Investor Loss

Supreme Court Upholds SEC Disgorgement Without Proof of Investor Loss

SEC Sues Texas Man Over $12.3 Million AI‑Branded Crypto Fraud

Supreme Court Questions Investor-Harm Test in SEC Disgorgement Case

Justices Signal Openness to SEC Disgorgement Without Proving Investor Loss

SEC FY2025 Report Signals Sharp Enforcement Pivot, Disavowing Crypto and Record-Keeping Sweeps

Congress Presses SEC Chair on Crypto Enforcement Pullback as Justin Sun Case Remains on Hold

Utah Man Sentenced to Three Years for Crypto Fraud and Unlicensed Money Transfers

SEC Files Final FTX Settlements Seeking 10-Year Bar for Ellison, 8-Year Bars for Wang and Singh

Law Firms Urge Jayud Global Logistics Investors to Seek Lead Role in Securities Class Action

Stride Investors Urged to Seek Lead Role in Securities Case Before January 12

SEC Drops SolarWinds Cyber Case With Prejudice, Ending Fight With Company and CISO

SEC and Gemini Reach Tentative Settlement in Earn Case

DOJ and SEC Charge Ex-Water Station Founder and Fund Manager in $275 Million Ponzi Scheme

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