Enforcement

Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
Judgment
Judgment
Judgment
Judgment
Judg08cv09961Cassidy
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
Judgment
Judgment
Judgment
Judgment
34-86813
34-86816
34-86819
34-86820
34-86823
34-86824
33-10678
LR-24582
LR-24578
LR-24579
LR-24580
LR-24581
AP-6666
AP-6665
AP-6667
AP-6669
AP-6668
34-86802
34-86807
33-10679
33-10677
34-86805
34-86804
34-86817
34-86812
34-86815
34-86810
34-86814
34-86808
34-86821
Investor Advisory Committee Meeting
Investor Advisory Committee Meeting
34-86800
34-86798
AP-6664
34-86796
34-86801
34-86797
34-86793
34-86791
34-86790
Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC
Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC
SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
RSM US LLP Charged With Violating Auditor Independence Rules
34-86778
34-86780
LR-24576
LR-24577
LR-24575
AP-6663
AP-6662
IA-5332
34-86781
34-86779
34-86777
34-86775
34-86771
34-86770
1384
1385
ETF Opportunities Trust, et al.
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Brings Settled Actions Charging Cherry Picking and Compliance Failures
SEC Brings Settled Actions Charging Cherry Picking and Compliance Failures
34-86754
34-86767
34-86769
34-86759
34-86757
LR-24574

Rules & Regulations

Enforcement & Litigation

Compliance

Enforcement

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Enforcement