SEC Enforcement

SEC filings and enforcement actions: Ken Leech's proposed judgment, Meyer Global's pre-IPO fund case, WhatsApp AI scams, and key 8-K and proxy filings.

This week’s review of public SEC records is led by the agency’s request for a final judgment against a former Western Asset Management co-chief investment officer, alongside new fraud complaints…

The Securities and Exchange Commission’s filings and enforcement docket this fall offer a split-screen view of American capital markets. On one side, regulators describe fraud schemes that exploited retail investors’…

Filings posted to the SEC’s EDGAR system and enforcement announcements issued by the Commission between September 28 and October 14, 2026 point to one development with potential consequences for a…

SEC enforcement actions and notable 8-K and proxy filings from late September through October 13, 2026.

The SEC censured OTC Link LLC and fined Truist Advisory Services, while Adobe, Warner Music, United Parks and Cable One filed notable disclosures.

The cable operator formerly known as Altice USA told investors to stop relying on four periods of financial statements, citing deferred tax errors and an expected material weakness.

The SEC filed a subpoena enforcement action against proxy adviser ISS, then proposed rescinding Rule 14a-8 entirely. Plus seven other notable filings and enforcement actions.

The SEC granted five-year exemptive relief for tokenized NMS stock venues, proposed rescinding the shareholder proposal rule, and settled accounting and 13-F reporting cases against The Bancorp's former CFO, Dada…

TIJ's daily digest of notable SEC filings: a settled Funko insider-trading case, Oracle's $664 billion remaining performance obligations, Advent's $1.02-per-share proposal for Definitive Healthcare, auditor and CFO changes, and new…