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SEC Charges 38 Entities for Fraudulent Filings Targeting Investors

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Medium 7/10Investment Advisers Retail Investors

SEC Charges 38 Entities for Fraudulent Filings Targeting Investors

The Securities and Exchange Commission (SEC) has charged 38 entities for allegedly using fraudulent filings to pose as legitimate investment advisers. These entities are accused of making material misrepresentations in their Forms ADV between 2025 and 2026 to deceive U.S. investors.

August 28, 2026Published 1 hour ago