Topic
enforcement
11 stories
CFTC sues Goliath Ventures and its CEO over alleged $397 million crypto Ponzi scheme
The CFTC filed a civil complaint in Florida federal court alleging Goliath Ventures and CEO Christopher Delgado ran a Ponzi scheme that took at least $397 million from roughly 1,600 customers.
SEC charges Adit Ventures and CEO Eric Munson over pre-IPO funds
The SEC on August 10 charged New York adviser Adit Ventures Management, CEO Eric Munson and three affiliated general partners with misappropriating client assets and taking millions in undisclosed fees on pre-IPO deals.
SEC charges pre-IPO fund adviser Adit Ventures and its CEO with fraud; defendants settle without admitting
The SEC says Adit Ventures Management, CEO Eric Munson and three affiliated general partners defrauded investors in SpaceX and Klarna pre-IPO share funds; all settled without admitting the allegations.
SEC builds a dedicated accounting-fraud unit — with no headcount, no budget, and no mention of digital assets
The SEC created a Financial Reporting and Accounting Unit inside its Enforcement Division on August 5, 2026, led by Timothy Zimmerman, with no headcount, budget or effective date disclosed.
CFTC fines UBS's brokerage arm $8M over FX wire monitoring gaps, including a fix that broke
The CFTC fined UBS Financial Services $8 million over four and a half years of gaps in monitoring foreign-currency wires, including a 2021 system replacement the firm then misconfigured.
Russia moves BitRiver founder into pre-trial detention over undelivered mining rigs
A Moscow court moved BitRiver founder Igor Runets from house arrest into pre-trial detention over an unfulfilled 2023 mining-equipment contract with an En+ subsidiary, with investigators alleging 1 billion rubles in damages.
SEC's No. 2 Enforcement Official Sam Waldon to Depart July 31
The SEC said Sam Waldon, its Principal Deputy Director of Enforcement, will leave the agency on July 31 after 14 years; Osman Nawaz, who rejoined last month, will replace him.
CFTC Sues North Carolina Trader Over Alleged $14M Ponzi-Style Commodity Pool
The CFTC filed a fraud complaint on July 7, 2026 against North Carolina trader Trevor L. Vernon and his firm Argent Capital Management, alleging a $14 million Ponzi-like commodity pool that faked profits from 2022 to 2026.
SEC's Atkins declares the end of 'regulation by enforcement' — but the post is a slogan, not a docket
SEC Chairman Paul Atkins said the agency has ended the "regulation by enforcement" era and refocused on investor-protection cases — a statement of posture, posted with no case numbers or specifics attached.
SEC wins $5.5M default judgment against fake crypto platform NanoBit
A federal judge in Brooklyn entered a $5.5 million default judgment against NanoBit and five co-defendants over a fake crypto trading platform that the SEC says defrauded 18 investors of roughly $1 million.
CFTC hits two offshore firms with $2.5M over illegal leveraged retail trades
The CFTC on June 29 ordered offshore firms Netrios LP Ltd. and Red Acre Ltd. to pay $2.5 million combined for illegally offering leveraged or margined retail commodity transactions to U.S. customers off-exchange.