Government ❯ Regulatory Agencies ❯ Securities and Exchange Commission

Enforcement Actions

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

Supreme Court Questions Investor-Harm Test in SEC Disgorgement Case

The outcome could clarify how far Congress’s 2021 amendments let the SEC reclaim ill-gotten gains.

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

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