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Blog
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 ...
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Blog
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.