Jefferies agrees to pay $650k civil penalty to resolve SEC charges
The Securities and Exchange Commission (SEC) today announced settled charges against Jefferies LLC, a registered broker dealer.
SEC
SEC charges Kalder, its founder with allegedly defrauding investors in $6.7M securities offering
The Securities and Exchange Commission (SEC) today announced that it filed a partially-settled action against New York-based fintech start-up Kalder Inc.
SEC announces settled charges against J.P. Morgan for alleged violations of Securities Exchange Act
The Securities and Exchange Commission (SEC) today announced settled charges against JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC.
SEC charges Cryptoaiml and TSAI Pro in connection with $15M fraudulent investment schemes
The Securities and Exchange Commission (SEC) today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors.
SEC files lawsuit against Jeremiah Silkowski and SQN Capital Management
The Securities and Exchange Commission (SEC) has filed a lawsuit against Jeremiah Silkowski and SQN Capital Management LLC.
SEC charges Ernest Ossei Boateng, Intercontinental Wealth Network in alleged $16M Ponzi scheme
The Securities and Exchange Commission (SEC) today charged Ernest Ossei Boateng and two companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP.
SEC fines trader accused of engaging in fraudulent “free-riding” scheme
The Securities and Exchange Commission (SEC) has filed a settled action alleging that Mayur Baviskar, of Morrisville, North Carolina, engaged in a fraudulent “free-riding” scheme.
SEC files insider trading charges against former Senior Director of Financial Planning and Analysis at The Trade Desk
The Securities and Exchange Commission (SEC) has filed a complaint against Jesse R. Mitchell alleging he engaged in insider trading.
SEC settles case against former New Jersey corrections officer charged with crypto fraud
On August 4, 2026, the Securities and Exchange Commission filed a consent and proposed final judgment in the U.S. District Court for the District of New Jersey as to defendant John A. DeSalvo.
Papamarkou Wellner Asset Management to pay $125k fine to settle SEC charges
The Securities and Exchange Commission (SEC) today announced settled charges against New York-based investment adviser Papamarkou Wellner Asset Management, Inc.
