All retail investors articles

  • Blog post

    SEC launches new enforcement action search tool for investors


    The SEC has announced the launch of a new, online search feature that enables investors to look up whether the person trying to sell them investments has a judgment or order entered against him in an enforcement action. The SEC Action Lookup for Individuals is now live and available as ...

  • Blog post

    SEC charges operators of $1.2B Ponzi Scheme


    The Securities and Exchange Commission announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors in a $1.2 billion Ponzi scheme.