What's New

Date Title Division/Office
Opinions and Adjudicatory Orders: Adam Strege (Order Granting Extension of Time) Enforcement
Administrative Proceedings: Sunwin Stevia International, Inc. Enforcement
Administrative Proceeding - Morgan Stanley & Co. LLC and Pawan Kumar Passi Enforcement
Administrative Proceeding - Synchronoss Technologies, Inc., Clayton “Charlie” Thomas, Marc Bandini, Daniel Ives, John Murdock, Ronald Prague, Esq. Enforcement
Administrative Proceeding - Laurence I. Balter d/b/a Oracle Investment Research Enforcement
Administrative Proceeding - MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Enforcement
Investment Company Act Notice - PGIM, Inc., et al. Investment Management
Investment Company Act Notice: Jefferies Finance LLC, et al. Investment Management
Litigation Release: GPB Capital Holdings, LLC, et al. Enforcement
SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme Enforcement
Litigation Release - David J. Feingold; Joseph B. Baldassarra; Steven S. Baldassarra; Broad Street Global Management, LLC; Broad Street Inc. Enforcement
Investment Company Act Notice: KKR FS Income Trust, et al. Investment Management
Investment Company Act Notice: Connetic Venture Capital Access Fund, et al. Investment Management
SEC Awards $6 Million to Joint Whistleblowers Enforcement
Commission Opinions and Adjudicatory Orders: William Joseph Kielczewski Enforcement
Commission Opinion and Adjudicatory Order - Harvey Electronics, Inc. Enforcement
Commission Opinion and Adjudicatory Order - Joseph Andrew Paul
Investment Company Act Notice - HPS Corporate Lending Fund, et al. Investment Management
Investment Company Act Notice - Aether Infrastructure & Natural Resources Fund, et al. Investment Management
Litigation Release - Saeid Jaberian Enforcement

Last Reviewed or Updated: June 28, 2024