SEC Forms New Team to Tackle Retail Investor Fraud

Dow Jones

Jul 08

The Securities and Exchange Commission is gathering a new task force aimed at identifying and combating retail investor fraud.

The agency said Tuesday that its new Retail Fraud Working Group will leverage the SEC's staff and resources to root out fraud and other misconduct targeting mom-and-pop traders, including pump-and-dump schemes and breaches of duties by investment advisers and broker dealers.

The SEC's enforcement director, David Woodcock, and his staff are taking point on the initiative, Chairman Paul Atkins said.

"Nothing motivates enforcement staff more than protecting those who invest their savings in our markets," Woodcock said.

Write to Dean Seal at dean.seal@wsj.com

(END) Dow Jones Newswires

July 07, 2026 13:50 ET (17:50 GMT)

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