SEC Actions

Barton Stuck is currently free on bond and is awaiting sentencing

A Brick, N.J. broker-dealer will still have to sit out its suspension for failing to file audited reports with regulators but will be $3,000 richer ...

Matthes stole $2.4 million from 26 of his customers and clients

The portolio manager managed the Fund differently from what was represented to investors and their advisers

"Cyber threat actors are becoming more aggressive and sophisticated"

The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...

Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility

A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...

The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...

The proposal would expand the list of entities that may qualify as accredited investors