SEC enforcement

The SEC chair's ambitious agenda drew fierce resistance from Wall Street and the crypto industry.

The cybersecurity leaders argued in a recent court briefing that the SEC's lawsuit against the SolarWinds CISO could harm the profession at large.

The Securities and Exchange Commission plows ahead with plans to boost oversight of the private fund industry. 

As an investigation into its relationship with a former District of Columbia city councilman nears its end, the Maryland company has confirmed that Chief Financial Officer Charles Levingston has received a notice from the Securities and Exchange Commission signaling a potential enforcement action against him.

The company did not disclose the nature of the suit, but CEO Brad Garlinghouse has long disputed the Securities and Exchange Commission's claim that XRP is a security, not a currency.

A former Ocwen Financial executive is settling Securities and Exchange Commission charges that he engaged in insider trading related to his company's dealings with Altisource Portfolio Solutions following a CFPB enforcement action and its upcoming merger with PHH Corp.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The Securities and Exchange Commission sanctioned Citigroup because of unauthorized proprietary trading as well as for the failure to detect suspect loans issued by its Banamex unit.

Three unnamed "senior" employees helped the SEC win a $415 million settlement from the bank; Sherborne Investors takes a 5.2% stake in the British bank.

Sen. Elizabeth Warren, D-Mass., and two colleagues are seeking more information from securities regulators about whether Wall Street firms are covering up signs of sexual harassment.