(quoted from SEC’s https://www.sec.gov/news/pressreleases )
SEC has brought 43 charges in Sept 2023 (quoted from the release) for the various violations listed below.
- Auditor Independence Violations
- Violating Whistle Blower protection
- Record keeping failures
- Misleading investors about Sales Performance
- FCPA violations
- Misleading Revenue projections ahead of SPAC merger
- Accounting and disclosure fraud
- Insider trading
- Failing to report holdings and transactions on a timely basis
- Disclosures of financial conflicts, misleading investors
- Failing to disclose misuse of investment funds
- Perpetrating Ponzi schemes
- Anti-Money Laundering violations
- Violating Order Marking Requirements of Short Sale Regulations
- Acting as Unregistered Investment Advisers to Billionaire Former Russian Official
- Violating Order Marking Requirements of Short Sale Regulations
- Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
- Unregistered Offering of NFTs
- False and Misleading Disclosures Relating to Information Barriers
- Marketing Rule Violations Results in Charges Against Nine Investment Advisers
- Accounting Improprieties
- Custody Rule Violations
- Inadequate Disclosure of Fees Paid to Affiliate
The list of releases and their links are here
Sept. 29, 2023 SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule
Sept. 29, 2023 SEC Charges 10 Firms with Widespread Recordkeeping Failures
Sept. 29, 2023 SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures
Sept. 29, 2023 SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance
Sept. 29, 2023 Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations
Sept. 28, 2023 SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger
Sept. 28, 2023 SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary
Sept. 28, 2023 SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud
Sept. 28, 2023 SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading
Sept. 27, 2023 SEC Charges Three Southern California Siblings with Insider Trading
Sept. 27, 2023 SEC Appoints George Botic to the Public Company Accounting Oversight Board
Sept. 27, 2023 SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
Sept. 26, 2023 SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors
Sept. 26, 2023 SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
Sept. 26, 2023 SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds
Sept. 25, 2023 SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
Sept. 25, 2023 SEC Charges GTT Communications for Disclosure Failures
Sept. 25, 2023 Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments
Sept. 22, 2023 SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
Sept. 22, 2023 SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
Sept. 22, 2023 Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
Sept. 20, 2023 SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors
Sept. 20, 2023 SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
Sept. 19, 2023 SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
Sept. 19, 2023 SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting
Sept. 19, 2023 SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
Sept. 18, 2023 SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
Sept. 18, 2023 SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
Sept. 15, 2023 SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Sept. 14, 2023 SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
Sept. 13, 2023 SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
Sept. 12, 2023 SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
Sept. 12, 2023 SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors
Sept. 12, 2023 SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies
Sept. 11, 2023 SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers
Sept. 8, 2023 SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules
Sept. 7, 2023 Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities
Sept. 6, 2023 SEC Charges Fluor Corp. for Accounting Improprieties
Sept. 5, 2023 SEC Charges Five Advisory Firms for Custody Rule Violations
Sept. 5, 2023 SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate
