Litigation
Jan. 18, 2014
This Litigation Information Section is designed to assist the public in searching for information regarding frequently occurring litigation topics. The section is not an exhaustive list of all Commission enforcement actions relating to investment companies and investment advisers.
Check back frequently for new additions to the Litigation Information Section.
- Advertising/Performance/Social Media
- Affiliated Transactions/Joint Transactions
- Allocation & Aggregation
- Allocation - Cherry-picking
- Best Execution
- Books & Records
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/34-71069.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/34-70058.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3636.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- Compliance Programs
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2013/34-71069.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3727.pdf
- http://www.sec.gov/litigation/admin/2013/34-70944.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3655.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3637.pdf
- http://www.sec.gov/litigation/admin/2013/34-70083.pdf
- http://www.sec.gov/litigation/admin/2013/34-69680.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3611.pdf
- Conflicts of Interest
- Cross Trades
- Custody
- Derivatives
- Failure to Supervise
- Fiduciary Duty
- Fraud - False Account Statements
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
- Fraud - Market Manipulation
- Fraud - Misappropriation
- http://www.sec.gov/litigation/admin/2015/ia-4288.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23423.htm
- http://www.sec.gov/litigation/admin/2014/34-71522.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22922.htm
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/34-71459.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22908.htm
- http://www.sec.gov/litigation/admin/2013/34-71109.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3723.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/33-9442.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3642.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22787.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3630.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22722.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22720.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
- Fraud - Misrepresentations
- http://www.sec.gov/litigation/litreleases/2015/lr23423.htm
- http://www.sec.gov/litigation/admin/2015/ia-4288.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3778.pdf
- http://www.sec.gov/litigation/admin/2014/33-9547.pdf
- http://www.sec.gov/litigation/admin/2014/34-71522.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22927.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22922.htm
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/34-71459.pdf
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3751.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22908.htm
- http://www.sec.gov/litigation/admin/2013/33-9501.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22895.htm
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3735.pdf
- http://www.sec.gov/litigation/admin/2013/34-71043.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/34-70989.pdf
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3729.pdf
- http://www.sec.gov/litigation/admin/2013/33-9488.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3723.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/34-70239.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/33-9442.pdf
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70126.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/33-9438.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3642.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22787.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/admin/2013/34-70043.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69984.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/admin/2013/34-69949.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/admin/2013/34-69816.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22720.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
- http://www.sec.gov/litigation/admin/2013/ia-3592.pdf
- http://www.sec.gov/litigation/admin/2013/34-69461.pdf
- http://www.sec.gov/litigation/admin/2013/34-69462.pdf
- http://www.sec.gov/litigation/admin/2013/34-69425.pdf
- Fraud - Offering Fraud
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22881.htm
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- Fraud - Omissions
- http://www.sec.gov/litigation/admin/2015/ia-4288.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3778.pdf
- http://www.sec.gov/litigation/admin/2014/33-9547.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22927.htm
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3751.pdf
- http://www.sec.gov/litigation/admin/2013/33-9501.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22895.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/33-9488.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/34-70239.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70126.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/33-9438.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69984.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/admin/2013/34-69949.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69816.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3592.pdf
- http://www.sec.gov/litigation/admin/2013/34-69461.pdf
- http://www.sec.gov/litigation/admin/2013/34-69462.pdf
- http://www.sec.gov/litigation/admin/2013/34-69425.pdf
- Fraud - Ponzi Scheme
- http://www.sec.gov/litigation/litreleases/2014/lr22925.htm
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/34-69637.pdf
- http://www.sec.gov/litigation/admin/2013/34-69529.pdf
- Fraud - Prime Bank Scheme
- Insider Trading
- http://www.sec.gov/litigation/admin/2015/34-76594.pdf
- http://www.sec.gov/litigation/admin/2014/34-71497.pdf
- http://www.sec.gov/litigation/admin/2014/34-71463.pdf
- http://www.sec.gov/litigation/admin/2014/34-71429.pdf
- http://www.sec.gov/litigation/admin/2014/34-71315.pdf
- http://www.sec.gov/litigation/admin/2014/34-71260.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3660.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3649.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22761.htm
- http://www.sec.gov/litigation/admin/2013/ia-3634.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22707.htm
- http://www.sec.gov/litigation/admin/2013/34-69514.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3604.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3605.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3606.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3607.pdf
- Money Market Fund
- Pay to Play
- Performance Fees
- Personal Trading
- PIPE
- Principal Transactions
- Registration
- Securities Lending
- Soft Dollars
- Valuation
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/33-9390.pdf
- http://www.sec.gov/litigation/admin/2013/34-70016.pdf
- http://www.sec.gov/litigation/admin/2013/ic-30557.pdf
- http://www.sec.gov/litigation/litreleases/2012/lr22510.htm
- http://www.sec.gov/litigation/litreleases/2012/lr22477.htm
- http://www.sec.gov/litigation/litreleases/2011/lr22024.htm
- http://www.sec.gov/litigation/admin/2012/34-67140.pdf
- http://www.sec.gov/litigation/litreleases/2010/lr21699.htm
- http://www.sec.gov/litigation/admin/2009/ia-2855.pdf
- http://www.sec.gov/litigation/aljdec/2009/ia-2848.pdf
- http://www.sec.gov/litigation/aljdec/2009/id369rgm.pdf
- http://www.sec.gov/litigation/litreleases/2008/lr20751.htm
- http://www.sec.gov/litigation/complaints/comp18226.htm
- http://www.sec.gov/litigation/litreleases/lr19427.htm
- http://www.sec.gov/litigation/litreleases/lr18432.htm
- Additional Litigation Releases
Last Reviewed or Updated: Nov. 10, 2022