CityVest and its subsidiary CV Manager borrowed $425,000 from advised funds for operating expenses, including payroll, without disclosing conflicts to investors, leading to an SEC settlement.
The SEC has proposed new crypto custody rules allowing self-custody and state trust companies for advisers and funds, with a 60-day public comment window.
The SEC's Divisions of Trading and Markets, Investment Management, and Corporation Finance issued staff statements on exchange-broker affiliations and Trump Accounts, with direct implications for inte
The SEC has charged Meyer Global Management and CEO Owen E.H. Meyer with fraud, alleging misuse of client assets and inflated statements, including a nearly $3 million SpaceX investment forfeiture.
The SEC filed two fraud complaints against Cryptoaiml and TSAI entities, alleging they used WhatsApp and fake AI programs to scam investors out of at least $15.3 million.
The SEC fined Zoe Financial $450,000 for failing to disclose a conflict of interest related to its Zoe Wealth platform for nearly two years, violating the Advisers Act.
SEC filings reveal how insider trading information about the Y-mAbs acquisition traveled through an extended family, leading to $34,244.86 in illicit profits.
The SEC has charged CMI Capital and Michael D. Williams with defrauding 18 investors, many law enforcement officers, of $860,000 through false statements.
The SEC censured OTC Link LLC with a cease-and-desist order and a $575,000 civil penalty for repeated Regulation SCI failures from August 2016 through March 2025.
The SEC has initiated Section 12(j) administrative proceedings against seven companies for delinquent periodic filings, including Reelcause, Santa Fe Gold Corp., and Zerify, Inc.
