SA 1933 Rule 17(a)(1) – Global Relay Intelligence & Practice

SA 1933 Rule 17(a)(1)

Enforcement

Insider gains, family betrayal, and high-tech market gaming in key SEC cases

July 25, 2025

The SEC has recently closed three very different but equally brazen fraud cases, each a window into a distinct form of financial misconduct.

Vlada Gurvich3 min read
Enforcement

FINRA disciplinary action update #14

May 30, 2023

Disciplinary decisions issued May 19 – May 25, 2023.

Thomas Hyrkiel2 min read
Enforcement

Executives admit fraud in FTX case as formal charges laid

December 22, 2022

Caroline Ellison and Gary Wang agree to cooperate with ongoing investigations.

Martin Cloake1 min read