Firms: Enforcement Actions
This week: New SEC litigation releases, as the SEC published them.
Week of November 9, 2026
Nothing new in this lane yet this week.
Every entry is quoted exactly as filed and links to its source. A disclosure is something somebody reported, not a finding that anyone did anything wrong. An entry comes down when the record changes, the filing is removed, it is resolved in the advisor's favor, or someone asks for a correction.