| | From Requirements in Rules 15c3-1 and 15c3-3 Under the | SEC-PR |
| | Press Release: SEC Sanctions Broker-Dealer for Unsuitable 529 College Savings Plan Recommendations; 2006-092; Nov. 15, 2006 | SEC-PR |
| | SEC v. David A. Zwick, Securities and Exchange Commission v | SEC-LR |
| | In re National Trust and Fiduciary Services Company | SEC-PR |
| | Conforming Version (To Conform to Release Published in the Federal Register) | SEC-PR |
| | 2018 Summary Report of Commission Staff’s Examinations of | SEC-PR |
| | In re JOSEPH CARACCIOLO | SEC-PR |
| | Citigroup Pays $20 Million to Settle SEC Action Relating to Mutual Fund Sales Practices | SEC-PR |
| | Press Release: SEC Charges A.G. Edwards With Failing to Supervise Brokers Who Engaged in Illegal Market Timing | SEC-PR |
| | Press Release: SEC Charges 38 Defendants in Multi-Million Dollar Stock Loan Scams | SEC-PR |
| | SEC Charges Six Former Officers of Putnam Fiduciary Trust Company with Defrauding Clients of $4 Million; 2006-2; Jan. 3, 2006 | SEC-PR |
| | SEC v. Eberhard, et al., No. LR-17969 (S.D.N.Y. Civ. 03 CV 813 (RJB)) — Complaint alleging securities fraud, looting of customer brokerage accounts, and material misrepresentations by Todd M. Eberhard and his affiliated companies, Park South Securities, LLC, Eberhard Investment Associates, Inc., and Stone House Capital Partners LP. | SEC-LR |
| | SEC Obtains Final Judgment as to Former New York Registered Representative Charged with Misappropriating Customer Funds | SEC-PR |
| | In re GARY MANFRE | SEC-PR |
| | In the Matter of : Proceedings, Making Findings | SEC-PR |
| | Report Concerning Examinations of Options Order Routing and Execution | SEC-PR |
| | SEC v. Credit Suisse First Boston Corporation, No. 17327 (D.D.C.), LITIGATION RELEASE NO | SEC-LR |
| | In re Charles Lloyd | SEC-PR |
| | SEC v. Gary J. Gross, No. 20732 (S.D.N.Y. Sept. 22, 2008), U | SEC-LR |
| | In re JOSEPH SIMONE | SEC-PR |
| 2026-04-15 | | SEC v. Spartan Trading Company, LLC, et al., No. 3:22-cv-01234 (D. Minn. Aug. 15, 2023) · Judgment · D. Minn. · Aug. 15, 2023 | SEC-LR |
| 2026-04-10 | | Final Judgment As to Defendant Christopher Joseph Bongiorno | SEC-LR |
| 2026-04-10 | | SEC v. Bongiorno, No. 26526 (S.D.N.Y. Feb. 28, 2020), U | SEC-LR |
| 2026-04-10 | | SEC v. CHRISTOPHER BONGIORNO, No. 61-3 (S.D.N.Y. Apr. 10, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-04-07 | | In re Thrivent Investment Management | SEC-PR |
| 2026-04-07 | | In re MUFG Securities EMEA | SEC-PR |
| 2026-04-06 | | SEC v. Jeffrey Higgins, No. 2:26-cv-00676 (D. Or.) · Complaint Filed · S.D. Or. · Jan. 1, 2026 | SEC-LR |
| 2026-04-03 | | SEC v. Vincent J. Camarda, James E. McArthur, and A.G. Morgan Financial Advisors, LLC, No. 26-civ-1986 (E.D.N.Y. Apr. 3, 2026) — SEC charges New York-based investment adviser and its principals in alleged $138 million offering fraud. | SEC-LR |
| 2026-03-31 | | Securities and Exchange Commission v. Fullenkamp et al., No. 1:26-cv-3407 (D.N.J. Mar. 31, 2026), alleged securities fraud by causing publicly traded companies to issue stock to a shell entity secretly controlled by Fullenkamp, resulting in $2.6 million in illicit proceeds | SEC-LR |
| 2026-03-30 | | SEC v. Brent Cranmer, No. 1:25-cv-06816 · Final Judgment — Civil Penalty $50,000 · S.D.N.Y. | SEC-LR |
| 2026-02-26 | | SEC v. FERNANDO PASSOS (S.D.N.Y. Feb. 26, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-11 | | Securities and Exchange Commission v. John David Gessin, No. 8:23-cv-00460 (C.D. Cal. 2023) · Judgment — Final Judgment — Disgorgement $1,640,923 · C.D. Cal. · 2023 | SEC-LR |
| 2026-01-27 | | Securities and Exchange Commission v. Jaberian, No. 21-1445 (D. Minn. Jan. 26, 2026), ordered to be permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws and prohibited from serving as an officer or director of any SEC-registered issuer | SEC-LR |
| 2026-01-16 | | SEC v. MATTHEW M. MOTIL (S.D.N.Y. Jan. 16, 2026), Judgment, llm-upgrade | SEC-LR |
| 2025-12-03 | | Securities and Exchange Commission v. Virtu Financial Inc. et al., No. 1:23-cv-08072 · Final Judgment — Disgorgement $2,500,000 · S.D.N.Y. · 2023 | SEC-LR |
| 2025-12-03 | | SEC v. Virtu Financial Inc. et al., No. 1:23-cv-08072 (S.D.N.Y. 2023) — SEC Obtains Final Consent Judgment as to Virtu Broker-Dealer Regarding Alleged Failure to Establish, Maintain, and Enforce Policies and Procedures Reasonably Designed to Prevent Misuse of Its Customers’ Material Nonpublic Information | SEC-LR |
| 2025-12-03 | | SEC v. Virtu Financial INC and, No. 1:23-cv-8072 (S.D.N.Y. Dec. 3, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-11-21 | | Final Judgment As to Defendant Kevin l. Jefferson – Page 1 | SEC-LR |
| 2025-11-18 | | SEC v. Cyrus P. Naderi, No. 26418 (S.D.N.Y. Nov. 18, 2025), U | SEC-LR |
| 2025-09-22 | | SEC v. Aaron O’Brian Freeman, No. 7:25‑cv‑01514‑BO (E.D.N.C. Sep. 22, 2025), SEC alleged that Freeman conducted a fraudulent free‑riding scheme by depositing unfunded checks and using the resulting credit to purchase securities, causing broker‑dealers a net loss of at least $5,463.26. | SEC-LR |
| 2025-09-22 | | Securities and Exchange Commission v. Aaron O'Brian Freeman, No. 7:25-cv-01514-BO (E.D.N.C. Sept. 19, 2025), alleged free-riding scheme involving fraudulent deposits and unauthorized trading totaling nearly $3.5 million, resulting in over $5,000 in net losses to broker-dealers | SEC-LR |
| 2025-09-12 | | SEC v. ALLEN C. GILTMAN, No. 2:22-cv-00051-ES-JRA (S.D.N.Y. Sept. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-10 | | SEC v. Anthony J. Mastroianni, No. 26396 (S.D.N.Y. Aug. 17, 2022), U | SEC-LR |
| 2025-08-12 | | SEC v. Garrett W. Moretz, No. 26372 (S.D.N.Y. Aug. 12, 2025), U | SEC-LR |
| 2025-08-12 | | Order of Permanet Injunction and Other Relief As to | SEC-LR |
| 2025-07-03 | | SEC v. Hernandez et al., No. 23 Civ. 8110 (E.D.N.Y. Jun. 30, 2025), ordered to pay and permanently enjoined from violating securities laws | SEC-LR |
| 2025-05-30 | | SEC v. Klyushin, No. 1:21-cv-12088-WGY (S.D.N.Y. May 30, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-07 | | SEC v. LORAL L. LANGEMEIER and, No. 3-20597 (S.D.N.Y. May 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-13 | | SEC v. Shapiro et al., No. 1:15-cv-07045 (S.D.N.Y. Sep. 8, 2015), the Commission alleged that the defendants made material false statements and omissions to customers in residential mortgage‑backed securities and manufactured‑housing asset‑backed securities trades at Nomura, generating over $7 million of concealed profits. | SEC-LR |
| 2025-02-05 | | SEC v. JOSEPH M. LAURA (S.D.N.Y. Feb. 5, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | SEC v. Arete Wealth Management (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | In re LPL Financial LLC | SEC-PR |
| 2025-01-17 | | SEC v. Arete Wealth Management LLC, No. 26228 (S.D.N.Y. Jan. 17, 2025), llm-upgrade | SEC-LR |
| 2025-01-14 | | In re DANNY Z. SPIEGEL | SEC-PR |
| 2025-01-13 | | In re Robinhood Financial LLC and | SEC-PR |
| 2025-01-13 | | In re PJT Partners LP | SEC-PR |
| 2025-01-13 | | SEC v. Santander US Capital Markets LLC, No. 3-22406 (Jan. 13, 2025), the SEC alleged that Santander US Capital Markets LLC failed to preserve off‑channel communications in violation of recordkeeping and supervision rules, and imposed remedial sanctions and a cease‑and‑desist order. | SEC-PR |
| 2025-01-10 | | In re LIQUIDNET | SEC-PR |
| 2025-01-01 | | SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering | SEC-PR |
| 2025-01-01 | | Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions | SEC-PR |
| 2025-01-01 | | SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk | SEC-PR |
| 2025-01-01 | | Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures | SEC-PR |
| 2025-01-01 | | Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information | SEC-PR |
| 2025-01-01 | | SEC Charges LPL Financial with Anti-Money Laundering Violations | SEC-PR |
| 2024-12-23 | | SEC v. St. Julien et al., No. 26204 (E.D.N.Y. May 3, 2016), U | SEC-LR |
| 2024-12-20 | | In re LPL Financial LLC | SEC-PR |
| 2024-12-20 | | SEC v. Wells Fargo Clearing Services, No. 3-22373 (Dec. 20, 2024), alleged that Wells Fargo Clearing Services failed to submit complete and accurate electronic blue sheet data, violating recordkeeping and reporting requirements under the Exchange Act. | SEC-PR |
| 2024-12-20 | | In re DEUTSCHE BANK | SEC-PR |
| 2024-12-12 | | SEC v. Chibuzo Augustine Onyeachonam et al., No. 2:24-cv-11026 (D.N.J. Dec. 12, 2024), The SEC alleged that the defendants impersonated securities brokers and investment advisers to defraud at least 28 investors of more than $2.9 million. | SEC-LR |
| 2024-12-10 | | SEC v. Christopher Booth Kennedy, No. 26191 (S.D.N.Y. Dec. 10, 2024), U | SEC-LR |
| 2024-11-22 | | In re Webull Financial LLC | SEC-PR |
| 2024-11-22 | | In re PAULSON INVESTMENT | SEC-PR |
| 2024-11-22 | | In re LIGHTSPEED FINANCIAL | SEC-PR |
| 2024-11-18 | | SEC v. Auerbach et al., No. 26170 (E.D.N.Y. Oct. 4, 2019), U | SEC-LR |
| 2024-10-16 | | SEC v. Baris Cabalar, No. 26161 (E.D.N.Y. Oct. 16, 2024), U | SEC-LR |
| 2024-10-16 | | SEC v. Cabalar, No. 1:24‑cv‑07274 (E.D.N.Y. Oct. 16, 2024), alleged that the defendant recommended short‑term, high‑volume trading without a reasonable basis, misrepresented potential returns, and violated Regulation Best Interest, causing customers to lose over $1,000,000. | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-09-30 | | SEC v. CHOICE ADVISORS, No. 18-CV-1530-WQH-JLB (S.D.N.Y. Sept. 30, 2024), Judgment, CHOICE ADVISORS, LLC, and | SEC-LR |
| 2024-09-30 | | SEC v. Choice Advisors, No. 26142 (S.D.N.Y. Sept. 24, 2021), Judgment, llm-upgrade | SEC-LR |
| 2024-09-27 | | SEC v. Robert M. Vance, No. 26139 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-27 | | United States Securities and Exchange Commission v. Vance, No. 1:24-cv-01150-BAM (E.D. Cal. Oct. 8, 2024), alleged that Robert M. Vance violated Regulation Best Interest by recommending high-risk, illiquid L Bonds to retail customers without reasonable diligence, despite disclosures indicating substantial risk and unsuitability for such investors. | SEC-LR |
| 2024-09-25 | | In re Stilwell Value LLC | SEC-PR |
| 2024-09-25 | | and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities | SEC-PR |
| 2024-09-24 | | In re Canaccord Genuity LLC | SEC-PR |
| 2024-09-24 | | In re Stifel | SEC-PR |
| 2024-09-24 | | In re Regions Securities LLC | SEC-PR |
| 2024-09-24 | | In re Intesa Sanpaolo IMI | SEC-PR |
| 2024-09-24 | | In re Invesco Distributors | SEC-PR |
| 2024-09-24 | | In re Qatalyst Partners LP | SEC-PR |
| 2024-09-24 | | In re Alpaca Securities LLC | SEC-PR |
| 2024-09-24 | | In re CIBC World Markets Corp. and | SEC-PR |
| 2024-09-18 | | SEC v. Prager Metis CPAs (S.D.N.Y. Sept. 18, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-17 | | In re Dixon Mitchell | SEC-PR |
| 2024-09-17 | | In re Pfm Financial Advisors LLC | SEC-PR |
| 2024-09-17 | | In re PHOENIX ADVISORS | SEC-PR |
| 2024-09-17 | | In re KAUFMAN | SEC-PR |
| 2024-09-17 | | In re Acacia Financial Group | SEC-PR |
| 2024-09-17 | | In re Caine Mitter and Associates INC | SEC-PR |
| 2024-09-17 | | In re MONTAGUE DeROSE & ASSOCIATES | SEC-PR |
| 2024-09-17 | | In re CFX INC. | SEC-PR |
| 2024-09-17 | | In re NATIONALE | SEC-PR |
| 2024-09-17 | | In re Zions Public Finance | SEC-PR |
| 2024-09-09 | | and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities | SEC-PR |
| 2024-09-09 | | In re Smart for Life | SEC-PR |
| 2024-08-14 | | In re Haitong International | SEC-PR |
| 2024-08-14 | | In re Truist Securities | SEC-PR |
| 2024-08-14 | | In re Great Point Capital | SEC-PR |
| 2024-08-14 | | In re Cowen and Company | SEC-PR |
| 2024-08-14 | | In re Edward D. Jones & Co. | SEC-PR |
| 2024-08-14 | | In re BNY Mellon Securities | SEC-PR |
| 2024-08-14 | | In re LPL Financial LLC | SEC-PR |
| 2024-08-14 | | In re Off-Channel | SEC-PR |
| 2024-08-14 | | In re Raymond James & | SEC-PR |
| 2024-08-14 | | In re Ameriprise Financial Services | SEC-PR |
| 2024-08-14 | | In re Apex Clearing Corporation | SEC-PR |
| 2024-08-14 | | In re Cetera Advisor Networks LLC | SEC-PR |
| 2024-08-14 | | In re RBC Capital Markets | SEC-PR |
| 2024-08-14 | | In re Hilltop Securities Inc. | SEC-PR |
| 2024-08-14 | | SEC v. Wilson J. Rondini, No. 26077 (S.D.N.Y. Sept. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2024-08-14 | | In re Piper Sandler & Co. | SEC-PR |
| 2024-08-12 | | In re OTC Link LLC | SEC-PR |
| 2024-07-31 | | SEC v. Western International Securities, No. 26065 (S.D.N.Y. Jul. 31, 2024), defs:body | SEC-LR |
| 2024-07-29 | | SEC v. GARRETT W. MORETZ, No. 5:24-cv-00171 (S.D.N.Y. Jul. 29, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-29 | | SEC v. Garrett W. Moretz, No. 26061 (S.D.N.Y. Jul. 29, 2024), U | SEC-LR |
| 2024-07-26 | | In the Matter of the Claims for an Award | SEC-PR |
| 2024-07-01 | | Final Judgment As to Adrian j. Ka Wuba | SEC-LR |
| 2024-06-20 | | SEC v. Ross I Mclellan, No. 664900 (S.D.N.Y. Jun. 20, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-22 | | SEC v. Ganesh H. Betanabhatla, No. 26009 (S.D.N.Y. May 22, 2024), U | SEC-LR |
| 2024-05-14 | | SEC v. St. Julien et al., No. 26006 (E.D.N.Y. May 14, 2024), U | SEC-LR |
| 2024-05-13 | | SEC v. Tyrone Johnny Lacy, No. 26004 (S.D.N.Y. May 13, 2024), U | SEC-LR |
| 2024-05-01 | | SEC v. Levin, No. 25991 (S.D.N.Y. May 1, 2024), U | SEC-LR |
| 2024-04-29 | | SEC v. Mario E. Rivero, No. 25986 (S.D.N.Y. Mar. 14, 2022), U | SEC-LR |
| 2024-04-22 | | SEC v. CHOICE ADVISORS, No. 34-70462 (S.D.N.Y. Apr. 22, 2024), Judgment, defs:body | SEC-LR |
| 2024-04-22 | | SEC v. City of Rochester, No. 25981 (W.D.N.Y. Apr. 22, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-04-22 | | SEC v. Choice Advisors, No. 25982 (S.D.N.Y. Sept. 23, 2021), Judgment, llm-upgrade | SEC-LR |
| 2024-04-09 | | SEC v. Mark Borden, No. 25971 (E.D.N.Y. Apr. 8, 2024), U | SEC-LR |
| 2024-04-09 | | SEC v. MARK BORDEN, No. 24-cv-2621 (S.D.N.Y. Apr. 9, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-04 | | SEC v. EDUARDO HERNANDEZ (S.D.N.Y. Apr. 4, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-03-27 | | Securities and Exchange Commission v. Cattlin et al., No. 21-CV-5294 (E.D.N.Y. Mar. 26, 2024), judgment entered granting default, ordering disgorgement of $107,140 plus prejudgment interest of $17,217.62, imposing civil penalties of $230,464, and enjoining Cattlin from future securities violations and participation in penny stock offerings or as a public company officer or director | SEC-LR |
| 2024-03-06 | | "UNRECOVERABLE: Timeout During Enrichment" | SEC-PR |
| 2024-02-09 | | In re U.S. Bancorp Investments | SEC-PR |
| 2024-02-06 | | SEC v. JEFFREY AUERBACH (S.D.N.Y. Feb. 6, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-01-01 | | SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations | SEC-PR |
| 2024-01-01 | | SEC Charges 11 Institutional Investment Managers with Failing to Report Certain Securities Holdings | SEC-PR |
| 2024-01-01 | | SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds | SEC-PR |
| 2024-01-01 | | Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2024-01-01 | | Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2024-01-01 | | Eleven Firms to Pay More Than $88 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures | SEC-PR |
| 2024-01-01 | | SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers | SEC-PR |
| 2024-01-01 | | SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports | SEC-PR |
| 2024-01-01 | | JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions | SEC-PR |
| 2023-11-17 | | SEC v. Alan Z. Appelbaum, No. 25895 (S.D.N.Y. Nov. 17, 2023), U | SEC-LR |
| 2023-11-17 | | SEC v. ALAN Z. APPELBAUM, No. 22-81115-CIV-CANNON (S.D.N.Y. Nov. 17, 2023), Judgment, llm-upgrade | SEC-LR |
| 2023-10-25 | | Securities and Exchange Commission v. Julie Anne Darrah, et al., No. 2:23-cv-008843-CAS (C.D. Cal. 2023) · Complaint Filed · C.D. Cal. · Nov. 1, 2016 | SEC-LR |
| 2023-10-25 | | SEC v. Julie Anne Darrah, No. 25885 (S.D.N.Y. Oct. 20, 2023), defs:body | SEC-LR |
| 2023-09-28 | | David Page, Steven Thompson, and : Ecf Case | SEC-LR |
| 2023-09-28 | | SEC v. Ronald E. Filoramo, No. 25864 (S.D.N.Y. Sept. 28, 2023), U | SEC-LR |
| 2023-09-28 | | SEC v. Michael Blumer, No. 25863 (E.D.N.Y. Sept. 28, 2023), U | SEC-LR |
| 2023-09-25 | | SEC v. DOUGLAS MACWRIGHT and (S.D.N.Y. Sept. 25, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-22 | | Securities and Exchange Commission v. J.H. Darbie & Co., Inc., No. 1:22-cv-10482 · Judgment — Defendant Ordered to Pay $125,000 · S.D.N.Y. · Sep. 13, 2023 | SEC-LR |
| 2023-09-22 | | In re CITADEL SECURITIES | SEC-PR |
| 2023-09-22 | | Securities and Exchange Commission v. J.H. Darbie & Co., Inc., No. 1:22-cv-10482-JHR (S.D.N.Y. Sept. 13, 2023), ordered to pay a $125,000 civil penalty and retain an independent anti-money laundering compliance consultant for allegedly failing to file Suspicious Activity Reports for tens of billions of shares of penny stock transactions | SEC-LR |
| 2023-09-22 | | In re Goldman Sachs & Co. LLC | SEC-PR |
| 2023-09-18 | | Wilson j. Rondini, Iii, ) Jury Trial Demanded | SEC-LR |
| 2023-09-18 | | SEC v. Rondini, No. 25831 (S.D.N.Y. Sept. 18, 2023), defs:body | SEC-LR |
| 2023-09-14 | | In re GlennCap LLC and | SEC-PR |
| 2023-09-12 | | SEC v. Virtu Financial Inc. and Virtu Americas LLC, No. 25827 (S.D.N.Y. Sept. 12, 2023), Information, llm-upgrade | SEC-LR |
| 2023-09-12 | | SEC v. Virtu Financial INC and, No. 1:23-cv-8072 (S.D.N.Y. Sept. 12, 2023), Amended Complaint, llm-upgrade | SEC-LR |
| 2023-09-05 | | In re PRIME GROUP | SEC-PR |
| 2023-08-29 | | In re ARCHIPELAGO TRADING | SEC-PR |
| 2023-08-29 | | In re Citigroup Global Markets Inc. | SEC-PR |
| 2023-08-28 | | SEC v. Deyonte Jahtori Anthony, No. 457868 (S.D.N.Y. Aug. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-28 | | SEC v. Deyonte Jahtori Anthony, No. 25816 (S.D.N.Y. Aug. 25, 2023), U | SEC-LR |
| 2023-08-08 | | In re SMBC Nikko Securities | SEC-PR |
| 2023-08-08 | | In re Wells Fargo Securities | SEC-PR |
| 2023-08-08 | | In re Mizuho Securities USA LLC | SEC-PR |
| 2023-08-08 | | In re SG Americas Securities | SEC-PR |
| 2023-08-08 | | In re BNP Paribas Securities | SEC-PR |
| 2023-08-02 | | SEC v. Ustocktrade LLC, No. 25799 (S.D.N.Y. Aug. 2, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-02 | | SEC v. USTOCKTRADE LLC and, No. 1:23-cv-6756 (S.D.N.Y. Aug. 2, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-28 | | SEC v. CLARICE SAW (S.D.N.Y. Jul. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-28 | | SEC v. Saw, S.D.N.Y. (Jul. 28, 2023), The SEC alleged that Saw defrauded a customer of approximately $2.4 million by misappropriating funds and liquidating securities without consent. | SEC-LR |
| 2023-07-13 | | SEC v. Joseph Michael Todd, No. 5:23-cv-00431 (S.D.N.Y. Jul. 13, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-13 | | SEC v. Joseph Michael Todd, No. 25777 (S.D.N.Y. Jul. 13, 2023), defs:body | SEC-LR |
| 2023-07-11 | | In re Merrill Lynch | SEC-PR |
| 2023-07-11 | | SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports | SEC-PR |
| 2023-07-07 | | Securities and Exchange Commission v. Caz L. Craffy et al., No. 3:23-cv-03639 · Complaint Filed · D.N.J. | SEC-PR |
| 2023-07-07 | | SEC v. CAZ L. CRAFFY, No. 23-CV-3 (S.D.N.Y. Jul. 7, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-07 | | SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members | SEC-PR |
| 2023-07-06 | | SEC v. EMPIRES CONSULTING, No. 22-21995-CIV-ALTONAGA (S.D.N.Y. Jul. 6, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-05 | | SEC v. Spartan Trading Company, No. 25767 (S.D.N.Y. Jul. 5, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-30 | | Securities and Exchange Commission v. Collins, et al., No. 4:23-cv-00676-O (N.D. Tex. Jun. 30, 2023), alleged that defendants orchestrated a fraudulent scheme to sell restricted shares of Global Resource Energy, Inc. to the public while concealing their control of the company and that one defendant acted as an unregistered broker. | SEC-LR |
| 2023-06-14 | | SEC v. Thayer, No. 1:23-cv-00362 (S.D. Ohio Jun. 13, 2023), the Commission alleged that Thayer misappropriated approximately $1.3 million from a client through fraudulent account transfers, violating the Securities Act, Exchange Act, and Advisers Act. | SEC-LR |
| 2023-06-07 | | Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services | SEC-PR |
| 2023-06-06 | | SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected | SEC-PR |
| 2023-05-30 | | SEC v. Engler, No. 25738 (E.D.N.Y. May 30, 2023), defs:body | SEC-LR |
| 2023-05-24 | | SEC v. Eleazar Kauderer (S.D.N.Y. May 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-19 | | SEC v. Daniel E. Levin, No. 25731 (S.D.N.Y. May 19, 2023), U | SEC-LR |