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News & Insights: Enforcement

Enforcement
19 Feb, 2025

SEC Announces Record Quarter for Number of Enforcement Actions

The SEC announced on January 17, 2025, that they have filed a total of 200 enforcement actions in the first quarter of fiscal year 2025, including 118 standalone enforcement actions. The Division filed 75 actions in the month of October alone.

SEC Off-Channel Enforcements: Twenty-Six Firms to Pay More Than $390 Million in Settlements

On August 14, 2024, the SEC announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.

Flash Reports
16 Nov, 2023

SEC Releases FY 2023 Enforcement Results

On November 14, 2023, the SEC released its FY 2023 Enforcement Results. In FY 2023 results, the SEC included how many enforcement actions and standalone enforcement actions were filed along with the price of penalties, disgorgement, and amount returned to harmed investors.

Private Equity Firm Will Pay $20.5 Million Following Fee Disclosure Enforcement

On September 5, 2023, the SEC charged private equity firm Prime Group Holdings LLC with “failing to disclose millions of dollars of real estate brokerage fees” that a fund managed by the firm paid to the firm’s affiliate.

Flash Reports
11 May, 2023

The SEC’s First Enforcement of Liquidity Rule Violations

On May 5, 2023, the SEC announced its first-ever enforcement of the Liquidity Rule by charging Pinnacle Advisors LLC, an investment adviser, with “aiding and abetting Liquidity Rule violations” regarding one of its mutual funds.

Key Takeaways from the SEC’s ESG Risk Alert

SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

News & Insights: Enforcement

SEC Announces Record Quarter for Number of Enforcement Actions

SEC Off-Channel Enforcements: Twenty-Six Firms to Pay More Than $390 Million in Settlements

SEC Releases FY 2023 Enforcement Results

Private Equity Firm Will Pay $20.5 Million Following Fee Disclosure Enforcement

The SEC’s First Enforcement of Liquidity Rule Violations

Key Takeaways from the SEC’s ESG Risk Alert

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

SEC Restores Investigative Powers for Senior Enforcement Staff

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