Oct. 1, 2024
Litigation Release - Barry Siegel
Enforcement
Oct. 1, 2024
Investment Company Act Order: Lafayette Square USA, Inc., et al.
Investment Management
Oct. 1, 2024
Other Commission Orders, Notice, and Information: Order Determining Whistleblower Award Claim
Enforcement
Oct. 1, 2024
The Nasdaq Stock Market LLC Rule Filing-t34-101224
Trading and Markets
Sept. 30, 2024
Administrative Proceedings: Atlas Financial Holdings, Inc.
Enforcement
Sept. 30, 2024
Commission Opinions and Adjudicatory Orders: Norman Thorn Robertson
Enforcement
Sept. 30, 2024
Litigation Release - Seong Yeol Lee and Ameritrust Corporation, et al.
Enforcement
Sept. 30, 2024
Litigation Release - James R. Craigie
Enforcement
Sept. 30, 2024
NASDAQ Rule filing - 34-101218
Trading and Markets
Sept. 30, 2024
Administrative Proceeding: TD Securities (USA) LLC
Enforcement
Sept. 30, 2024
SEC Charges Independent Director and Ex-CEO of Church & Dwight With Concealing Close Friendship with Company Executive
Enforcement
Sept. 30, 2024
Administrative Proceeding - Marathon Asset Management, LP
Enforcement
Sept. 30, 2024
TD Securities Charged in Spoofing Scheme
Enforcement
Sept. 30, 2024
SEC Charges Three Individuals in the New York Metropolitan Area for Perpetrating a $120 Million Pre-IPO Fraud Scheme
Enforcement
Sept. 30, 2024
Administrative Proceeding: Gemini Capital Partners LLC and Kabir Gangahar
Enforcement
Sept. 30, 2024
SEC Reaches Shooting Stars
Minority and Women Inclusion
Sept. 30, 2024
Litigation Release - Choice Advisors, LLC and Matthias O’Meara
Enforcement
Sept. 30, 2024
Advisory Firm Marathon Asset Management Charged with Policies Failures Regarding Potential Receipt of Confidential Information from Ad Hoc Creditors’ Committees
Enforcement
Sept. 30, 2024
Commission Opinions and Adjudicatory Orders: Vania May Bell
Enforcement
Sept. 30, 2024
Opinions and Adjudicatory Orders: Warren A. Davis and Gibraltar Global Securities, Inc.
Enforcement