Firms: Enforcement Actions

The week of November 2, 2026: New SEC litigation releases, as the SEC published them.

Week of November 2, 2026

SEC Litigation ReleaseMon, 02 Nov 2026 15:27:17 -0500

Alyssa D'Urso, Antonella Chiaramonte, Daniel Wellcome, Jay Garnock, and Michael D'Urso

Published
Mon, 02 Nov 2026 15:27:17 -0500
Source
SEC Litigation Release
Summary
Alyssa D'Urso, Antonella Chiaramonte, Daniel Wellcome, Jay Garnock, and Michael D'Urso

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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.

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