Search for: "US Securities and Exchange Commission"
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21 Jul 2013, 10:00 pm
., April 16, 2013) The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]
8 Jun 2022, 11:39 am
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. [read post]
26 Jul 2023, 10:50 am
HE CAN BE REACHED AT 617-823-3217 OR AT JEFF@JEFFNEWMANLAW.COM The post Securities and Exchange Commission adopts new rules to disclose cybersecurity attacks including foreign private issuers appeared first on Jeff Newman Law. [read post]
30 May 2021, 8:54 am
The Securities and Exchange Commission filed a lawsuit Friday in federal court in Manhattan alleging that five individuals promoted a global unregistered digital asset securities offering that raised over $2 billion from retail investors. [read post]
4 Apr 2023, 8:28 am
The post Securities and Exchange Commission charges Charlie Javice former owner of student loan assistance company Frank with fraud on sale appeared first on Jeff Newman Law. [read post]
4 Aug 2020, 6:53 am
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Oct 2022, 12:49 pm
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. [read post]
20 Sep 2022, 12:14 pm
The Securities and Exchange Commission ordered Waddell & Reed to pay close to $776,000 over alleged failures to prevent reverse churning in a wrap fee investment advisory program. [read post]
23 Mar 2023, 1:44 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over two and a half years. [read post]
9 Feb 2010, 7:10 am
According to the Los Angeles Times, Robert Khuzami, the Securities and Exchange Commission's (SEC) director of enforcement, has initiated a new whistle-blower program to attempt to catch fraudsters in the act. [read post]
24 Oct 2017, 12:00 am
In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about emerging ponzi schemes utilizing virtual currencies such as Bitcoin to raise money from unsuspecting investors. [read post]
6 Jul 2020, 5:51 am
The Act was the first federal law to mandate disclosure of audited financial statements, it established the Securities and Exchange Commission (SEC), and is still the basis of much financial litigation. [read post]
20 Sep 2022, 12:21 pm
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and he can be reached at Jnewman@NewmanShapiro.com or at 978-880-4758 The post Morgan Stanley to pay $35 million to settle allegations that it failed to protect client information according to the Securities & Exchange Commission appeared first on Newman & Shapiro. [read post]
31 Mar 2023, 7:01 am
The post Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm appeared first on Jeff Newman Law. [read post]
30 Mar 2022, 12:56 pm
From Bloomberg News: The proposed language would require companies to disclose to the Securities and Exchange Commission any analyses they use to measure the resilience of their business strategies... [[ This is a content summary only. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
