SEC News
Official announcements and updates from the U.S. Securities and Exchange Commission.
Institutional Shareholder Services SEC Subpoena Case: What the ISS Dispute Reveals About Adviser Examinations and Regulatory Access
SEC VERIFY DATA Federal action over advi er record acce . Learn how exam duty, data control, regulator inquiry, proxy work and record delivery can affect RIA review. ADVISER EXAM REVIEW A federal court filing in Sep 2026 put regulator data acce under legal review. The matter can help explain why exam duty, data con
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Embarcadero Capital Advisors SEC Judgment: What Client Data, Adviser Launch and Disclosure Failures Reveal About RIA Due Diligence
SEC VERIFY DATA Federal court outcome over client data and advi er conduct. Learn how data control, employment exit, public filing, duty and launch plan can affect RIA review. RIA CONDUCT REVIEW A federal court outcome in Aug 2026 put client data control and advi er conduct under legal review. The matter can help ex
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Ellen Polcari SEC Case: What a $1.28 Million Venture Fund Misappropriation Allegation Reveals About Internal Controls
SEC VERIFY DATA Federal action over fund control and wire fraud. Learn how bank routing, dual approval, employee authority, equity tran fer and payment review can alter private fund protection. VENTURE FUND CONTROL REVIEW A federal action in late 2026 put internal fund control under legal review. The matter can help
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Intercontinental Wealth Network SEC Case: What the $16 Million Fund Allegations Reveal About Guaranteed Returns and Risk Claims
SEC VERIFY DATA Federal action over a private fund model. Learn how return claim, capital flow, payout origin, day trading and manager control can alter buyer outcome. PRIVATE FUND REVIEW A federal action in Sep 2026 put a private fund model under legal review. The matter can help explain why return claim, capital f
Read more →Hatteras Investment Partners SEC Order: What the $300 Million Beneficient Loss Reveals About Adviser Due Diligence
SEC VERIFY DATA Federal action over fund due care. Learn how deal review, liquidity planning, board duty, valuation and manager judgment can alter inve tor outcome. ALTERNATIVE FUND REVIEW A federal order in Sep 2026 put advi er judgment under review. The matter can help explain why deal review, liquidity planning,
Read more →Adit Ventures Pre-IPO Fund Review: SEC Allegations Involving SpaceX, Klarna, Fees and Related-Party Loans
SEC VERIFY DATA Federal action over a pre-IPO fund model. Learn how deal proof, fee data, fund control, related-party debt and manager duty can alter private market review. PRE-IPO FUND REVIEW A federal action in Aug 2026 put a pre-IPO fund model under legal review. The matter can help explain why deal proof, fee de
Read more →SEC Charges 38 Entities Over False Form ADV Filings: What Investors Should Verify Beyond an SEC Record
The SEC charged 38 entities over allegedly false or materially misleading Form ADV filings used to create the appearance of legitimate U.S. investment advisory businesses. The case highlights why investors should verify an adviser's regulatory status, business address, ownership, service providers and website claims rather than treating the existence of an SEC filing as proof of legitimacy.
Read more →SEC Says Ichcoin Tech Used False ERA Claims, Fake Office Details and Another Person's CRD Number
The SEC charged Ichcoin Tech Corp. with allegedly filing false Form ADV information about its eligibility as an exempt reporting adviser, Albany office, telephone number and CRD identification.
Read more →SEC Alleges Texas Attorney Used Tax-Lien and Settlement Investment Deals to Raise $1.85 Million
The SEC charged Texas attorney David T. Gilchrist and podcast host Christopher Aaron Novinger in connection with alleged fraudulent securities offerings that raised more than $1.85 million from at least 22 investors through tax-lien and class-action settlement investment pitches.
Read more →SEC Alleges Billion-Dollar Revenue Fraud Tied to Lugano Diamonds and Parent Company Disclosures
The SEC charged former Lugano Diamonds CEO Mordechai Ferder over an alleged scheme involving fictitious diamond investments, Ponzi-like repayments and more than $1 billion in allegedly false revenue recognized by Lugano and its public parent, Compass Diversified.
Read more →SEC Alleges $80 Million Private Fund Scheme Used New Investor Money to Pay Earlier Investors
The SEC charged former Pacific Private Money Group executives Mark D. Hanf and Hoai-Nam Chu Phan with allegedly raising more than $80 million from approximately 190 investors while using new investor capital to make Ponzi-like payments to earlier investors.
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