{"schema_version":"secwatch.filing_event.v1","accession":"0001214659-24-017732","form_type":"8-K","ticker":"WT","cik":"0000880631","company_name":"WisdomTree, Inc.","filed_at":"2024-10-21T23:59:59+00:00","discovered_at":"2026-05-14T18:03:11.240007+00:00","generated_at":"2026-05-30T12:40:19.128371+00:00","sec_items":["8.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.55,"calibrated_materiality_score":0.55,"confidence":"high","headline":"WisdomTree settles SEC ESG enforcement action, pays $4M penalty","bullets":["WTAM received Wells Notice on Aug 5, 2024, over three ESG-focused funds launched Mar 2020 and liquidated Feb 2024.","Funds had cumulative avg AUM of ~$119M; WTAM consented to cease-and-desist and $4M civil penalty without admitting or denying.","Penalty announced Oct 21, 2024; legal expenses covered by insurance except $1.0M deductible.","Settlement resolves alleged violations of Advisers Act Sections 206(2), 206(4), and Investment Company Act Section 34(b)."],"urls":{"canonical":"https://secwatch.observer/filing/0001214659-24-017732","json":"https://secwatch.observer/filing/0001214659-24-017732.json","markdown":"https://secwatch.observer/filing/0001214659-24-017732.md","text":"https://secwatch.observer/filing/0001214659-24-017732.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/880631/000121465924017732/0001214659-24-017732-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/880631/000121465924017732/x10182408k.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-30T12:40:19.128371+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}