Enforcement

Dale, Mariam and Banks Associates at Law
CryptoInvestments
Corporations International and Domestic Donor Advised Funds Grants FB&CO
Brooklyn Arbitration Council
Judgment
SEC Halts Fraudulent Offering by Florida Investment Adviser
SEC Complaint
Judgment
Judgment
34-89672
34-89674
34-89675
34-89676
34-89685
33-10827
34-89683
34-89682
LR-24877
34-89681
34-89680
34-89677
Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
Brooklyn Arbitration Council
Binatrex Advisors Corporation
Baytree Capital Associates
Arcadia Acquisition Group Inc.
Alexander Kingsley Private Equity Inc.
Advanced Digital Trade
Judgment
SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations
Judgment
SEC Complaint
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-89666
34-89661
34-89646
LR-24874
LR-24875
LR-24876
34-89648
34-89660
34-89658
34-89657
33-10822
34-89650
34-89649
34-89665
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-89645
34-89643
LR-24872
LR-24873
34-89647
34-89644
34-89642
IA-5564
forms-144-2020-08-20
SEC Charges Unregistered Brokers Who Sold Equialt Securities to Main Street Investors
SEC Vs. Complete Business Solutions Group Inc. d/b/a/ Par Funding et al., No. 9:20-Cv-81205 ( S.D.Fl Filed Jul 31, 2020)
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-89630
34-89634
34-89629
34-89641
34-89637
SEC Orders Investment Adviser to Pay Over $1 Million and Return Funds to Clients Harmed by Share Class Selection Practices
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint

Rules & Regulations

Enforcement & Litigation

Compliance

Enforcement

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Enforcement