The SEC’s Enforcement team obtained emergency asset freeze against alleged fraudulent pooled investment fund based in Minnesota. See details here: ow.ly/rELw50PqPzQ

#DYK that the SEC has a Compliance Outreach Program to promote open communications and coordination among securities regulators and the industry, which features a number of elements, including regional and national events? Learn more here: ow.ly/CXAs50PqPwc #Compliance

Attention Midwest libraries, universities, and senior centers! Are you looking for programming? We have presentations that can be tailored for your audiences! To request an SEC speaker, virtual event, or resource table, contact us: ow.ly/zKGA50PqPG9 #wecanhelp

🏛️ The SEC's Enforcement team filed settled charges against Wells Fargo entities for allegedly overcharging investment advisory accounts more than $26.8 million. ✔️ Read about it here: ow.ly/qL9j50PGA7S

🏛️ The SEC's Enforcement team filed settled charges against Wells Fargo entities for allegedly overcharging investment advisory accounts more than $26.8 million. ✔️ Read about it here: sec.gov/news/press-rel…

⚖️ SEC Enforcement team charges former broker with allegedly defrauding senior and disabled customers of at least $3 million. See details here 👇 ow.ly/SORV50PGAjX

The SEC's Chicago office joins our nation in recognizing the hard-working American workforce this #LaborDay ❕ Happy Labor Day to the workers of every field ❕❕

#DYK – You can request Chicago SEC staff as speakers for events❔ We have presentations tailored for seniors, students, teachers, retail investors, and more❕ If interested, contact us: 🖱️⌨️🖥️ ow.ly/Of3450PGAgt

Attention Midwest Military! The SEC is a member of the DoD’s financial readiness network, and our Chicago team can help you at your installation. To request an SEC speaker, virtual event, or resource table, contact us: ow.ly/CPpu50PW3sl

The SEC's Enforcement team brought settled charges against Archipelago Trading Services for allegedly failing to file hundreds of legally required reports of suspicious financial transactions. Find the details here: ow.ly/mqoB50PW3tS

The SEC barred Jason Nordlund, of Minneapolis, from associating with certain securities firms based on a judgment entered against him for allegedly orchestrating a scheme to inflate the value of an investment fund. ow.ly/3A1I50PW3vp

Thinking of investing in Self-Directed IRAs? Read this first: ow.ly/wULM50PW3x8

Term of the week: A “Pump and Dump Scheme” is one where fraudsters typically spread false or misleading information to create a buying frenzy. Learn more: ow.ly/bnJL50PWtxs

The Enforcement team has charged a Wisconsin broker-dealer with certain violations of Regulation Best Interest. See the details here: ow.ly/qBJP50PWtBT

DYK – You can request Chicago SEC staff as speakers for events? We have presentations tailored for seniors, students, teachers, retail investors, and more! Contact us: ow.ly/K4il50PWttY

Our Enforcement team filed charges against Exelon, Commonwealth Edison, and former CEO Anne Pramaggiore alleging fraud in political corruption scheme. Check out the details here: ow.ly/m7WT50PWtGu

What is the difference between a leveraged ETF and an inverse ETF and how do they differ from a traditional one? Learn more here: ow.ly/GFeU50PYHzk

The SEC's Enforcement team has filed charges against a Chanhassen, Minnesota-based company and its founder for an alleged fraudulent securities offering. See the details here: ow.ly/VGsi50PYHAq

The SEC's Enforcement team has filed settled charges against a Chicago-based broker-dealer for violating Regulation SHO. ow.ly/Qv1P50PYHAW

The SEC's Chicago office is one of eleven regional offices that covers nine states: MN, WI, IA, IL, IN, MO, OH, MI and KY. Read more about us: ow.ly/g7tC50PYHF0 Learn about the SEC and our goals: ow.ly/59oG50PYHEZ