Enforcement

Order Determining Whistleblower Award Claim
Order Determining Whistleblower Award Claim
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Real Estate Broker With FCPA Violations
Judgment
Judgment
SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division
SEC Awards More Than $54 Million to Two Whistleblowers
34-84053
34-84051
LR-24259
LR-24260
LR-24258
IA-5000
34-84054
34-84052
34-84050
34-84048
34-84044
34-84043
Thrivent Financial for Lutherans, et al.
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme
SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme
Judgment
Judgment
Judgment
34-84038
34-84037
34-84036
LR-24256
LR-24257
34-84040
34-84039
34-84042
34-84041
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Telecommunications Expense Management Company With Accounting Fraud
Sanofi Charged With FCPA Violations
LR-24255
34-84019
34-84018
34-84017
34-84023
34-84022
34-84028
34-84027
34-84026
34-84025
34-84024
34-84030
34-84029
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
LR-24254
34-84015
34-84014
IA-4999
34-84016
1259
SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser
34-84009
LR-24252
LR-24253
LR-24251
34-83997

Rules & Regulations

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Enforcement