Market news

Trevon Brown, Craig Grant, and Michael Noble

Owen E.H. Meyer; Meyer Global Management LLC

Christopher Kenji Dinelli a/k/a Kenji Dinelli and Jacob David Frankel a/k/a Kobi Frankel

SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities

The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in

Travel + Leisure Co.

Lamar D. Fletcher

SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans

The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 invest

SEC Proposes Amendments to Expand Responsible Retailization of Private Markets

The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regu

Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation

Cryptoaiml Ltd.; Cryptoaiml Capital Foundation; TSAI Pro Ltd.; TSAI Capital Foundation

Chris Farrant

Cheryl R. Kramer

SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors

The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called i

Jacob Garfinkel; 5G Funding LLC; Five G Funding LLC

Fan “Jocelyn” Yang; Jing Tian; Zijun Zhang; Shuchen Zhu; Chong Zhang; and Hanxiong Bo

Lloyd Anderson Wilson, C.P.A.

SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest

Kristopher A. Lunsford; AKL Transport LLC; Southern Truck Leasing LLC

Manish Lachwani

Michael D. Williams and CMI Capital, LLC

SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase

SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement

The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 inves

Lawrence Billimek and Alan Williams

SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI

The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (S

Michael T. Christensen

Michael Ayala; Wavemark Capital, LLC

Ellen Polcari

SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment

The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act o

Jessica Richman and Zachary Apte

SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process

The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state la

Jon P. Kipp

Ernest Ossei Boateng, Intercontinental Wealth Network, LLC, and I Wealth Network LP

Paul Thomas Croft, Jonathan David Frost, Matthew William Dira

SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements

The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing

Adam B. Rundle

Invesco Alpha Inc.

Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution

Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Se

Paul W. Jorgensen

SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme

The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $

Justin Chen

Francisco Javier Sarabia

Institutional Shareholder Services, Inc.

Parker Terrill Austin; Embarcadero Capital Advisors, Inc.

Omar Dario Chavez

Trijya Vakil and Neeraj Visen

Waldon Fenster

Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan

SEC Proposes Rescission of Political Contribution Rule for Investment Advisers

The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two y

Corey Ortiz

SEC Investor Advisory Committee to Host Sept. 10 Meeting

The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the

Mordechai Haim Ferder and Simba IL Holdings LLC, Defendants; Mordechai Haim Ferder and Edit Fintzi Ferder in Their Capacities as Trustees of the Haim Family Trust, TF 2021 Irrevocable Trust, and RF 2021 Irrevocable Trust, Relief Defendants

David T. Gilchrist, Christopher Aaron Novinger, Rebecca Novinger

SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading

The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street

SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme

The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orche

SEC Proposes to Modernize Rules for Registered Transfer Agents

The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer a

SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity

The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective

Ichcoin Tech Corp.

SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations

The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obli

False Forms ADV Filings

SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors

The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimat

Stephen E. Buyer, et al.

Evarist C. Amah

GenesisAI Corp. and Archil Cheishvili

Mayur Baviskar

Gavin Wolfe; Jason Satsky, Defendants; and Evergreen Capital L.P., Evergreen Financial LLC, Empire Property Management LLC, GAW Holdings, LLC, SA 1055 LLC, SA 1057 LLC, SA 1082 LLC, and SA 1083 LLC, Relief Defendants

John “Jon” Isaac and Virland A. Johnson

1859 Operating, LLC; Centerfire Consulting, LLC; DMMD Marketing, Inc.; DM Sales Consulting, Inc.; The Slade Group, Inc.; Slade Marketing, Inc.; Adam Fieldsted; Dillon Murrow; Alison Slade; Dallin Slade; Duane Slade; and Mason Slade

Jesse R. Mitchell

Brian Keasberry

Daniel Chu; Jerome Kollar; Ameryn Seibold

SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor

The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their role

SEC Proposes New Regulation Crypto Assets

The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving cry

Andrew Spaventa; The Spaventa Group LLC; TSG Capital Advisors LLC; TSG Alpha Partners LLC

SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam

The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of pr

Leor Moshe, Jacob Goldman, Isaac Odes

SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities

The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were prim

Benjamin Tesfaye

Goliath Ventures, Inc.; Christopher A. Delgado

John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc.

Frank M. Cerisano Jr.

Eric L. Munson; Adit Ventures Management, LLC, Adit Ventures, LLC, Adit Ventures II, LLC, and Adit Ventures III, LLC

James Brian Blaylock

SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud

The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; an

Terren S. Peizer and Acuitas Group Holdings, LLC

Anthem Blanchard; Anthem Holdings Company

Christopher Vaughan

Wisdom Capital Management Group Ltd.

SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division

The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financi

John A. DeSalvo

Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov

Adamant Stone Limited

SEC Announces Continuation of Small Business Advisory Committee Meeting

The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committ

RAD Diversified REIT, Inc.; Brandon “Dutch” Mendenhall; Amy Vaughn; and The Seminar Solution, LLC, Relief Defendant

Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy

The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides

Aras Investment Business Group S.A.P.I. de C.V.; Armando Gutierrez Rosas; Maria de Lourdes Tolentino Roque; Diayanira Rendon Trejo; Efren Quiroz Gardea; Luis Quiroz Gardea

Gauntlet Holdings, LLC; Darrell W. Rideaux; Ali Derakhshanfar; Sal N. Ortiz

Brian Kuzdas and John Rowland

Semisub, Inc.; Jamey Denise Jackson