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SEC homepage U.S. Securities and Exchange Commission U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission
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Enforcement

Enforcement
  • 34-84169
  • 33-10552
  • 33-10551
  • 33-10550
  • 34-84178
  • Exact Sciences Corporation
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  • Order Determining Whistleblower Award Claim
  • Order Determining Whistleblower Award Claim
  • SEC Charges Investment Advisers With Defrauding Retail Advisory Clients
  • SEC Charges Hedge Fund Manager with Misleading Investors
  • Whistleblower Receives Award of Approximately $1.5 Million
  • SEC Charges Citigroup for Dark Pool Misrepresentations
  • IA-5012
  • IA-5018
  • IA-5019
  • 34-84132
  • 34-84133
  • 34-84134
  • 34-84135
  • 34-84136
  • 34-84137
  • 34-84138
  • 34-84139
  • 34-84129
  • 34-84128
  • LR-24268
  • LR-24269
  • AP-5979
  • AP-5978
  • AP-5977
  • AP-5976
  • AP-5975
  • AP-5974
  • AP-5973
  • AP-5972
  • IA-5009
  • 33-10546
  • 33-10545
  • 34-84131
  • IC-33226
  • Judgment
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  • Audit Firm Settles Charges for Violating Auditor Independence Rules
  • Judgment
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  • Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
  • Judgment
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  • Judgment
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  • Judgment
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  • Judgment
  • 34-84122
  • 34-84120
  • LR-24267
  • AP-5957
  • AP-5967
  • AP-5966
  • AP-5965
  • AP-5964
  • AP-5963
  • AP-5962
  • AP-5961
  • AP-5971
  • AP-5960
  • AP-5970
  • AP-5959
  • AP-5969
  • AP-5958
  • AP-5968
  • 34-84109
  • 34-84112
  • 34-84111
  • 34-84110
  • 34-84121
  • 34-84119
  • 34-84118
  • 34-84116
  • 34-84115
  • 34-67883
  • SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
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