---
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"
generated_at: "2026-05-30T12:40:19.128371+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.55
calibrated_materiality_score: 0.55
confidence: "high"
source: SEC EDGAR
---

# WisdomTree settles SEC ESG enforcement action, pays $4M penalty

## Summary
- 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).

## SEC filing metadata
- 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
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.55
- calibrated_materiality_score: 0.55
- confidence: high
- sec_items: 8.01
- 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

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001214659-24-017732
- JSON: https://secwatch.observer/filing/0001214659-24-017732.json
- Plain text: https://secwatch.observer/filing/0001214659-24-017732.txt

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.