Search for: "Securities and Exchange Commission" Results 2021 - 2040 of 22,487
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
29 Dec 2021, 5:35 am by Mark Astarita
The Securities and Exchange Commission today charged Medallion Financial Corp., a Delaware company headquartered in New York, NY, and its President and Chief Operating Officer, Andrew Murstein of New York, NY, with illegally engaging in two schemes in an…Read the Full Press ReleaseHave a securities law question? [read post]
27 Jan 2022, 9:10 am by Mark Astarita
The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company'…Read the Full Press ReleaseHave a securities law question? [read post]
4 Mar 2022, 8:05 am by Mark Astarita
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…Read the Full Press ReleaseHave a securities law question? [read post]
27 Jan 2022, 12:05 pm by Mark Astarita
The Securities and Exchange Commission today announced that LizAnn Eisen has been named Deputy Director, Disclosure Program, for the Division of Corporation Finance. [read post]
6 Jan 2022, 12:15 pm by Mark Astarita
The Securities and Exchange Commission today announced charges against Australian citizen Craig Sproule and two companies he founded, Crowd Machine, Inc. and Metavine, Inc., for making materially false and misleading statements in connection with an…Read the Full Press ReleaseHave a securities law question? [read post]
7 Dec 2021, 9:20 am by Mark Astarita
The Securities and Exchange Commission (SEC) today announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led to the success of a covered action. [read post]
1 Dec 2021, 8:10 am by Mark Astarita
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 82 soliciting entities, eight (8) impersonators of genuine firms, and…Read the Full Press ReleaseHave a securities law question? [read post]
7 Mar 2022, 10:50 am by Mark Astarita
The Securities and Exchange Commission today charged a previously-barred North Carolina-based investment adviser with lying to retail investors about the use and value of their investments. [read post]
15 Mar 2022, 2:10 pm by Mark Astarita
The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors…Read the Full Press ReleaseHave a securities law question? [read post]
7 Mar 2022, 1:00 pm by Mark Astarita
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. [read post]
8 Mar 2022, 11:00 am by Mark Astarita
The Securities and Exchange Commission today announced an award of more than $3.5 million to a whistleblower who provided critical information that significantly contributed to the success of two SEC enforcement actions. [read post]
29 Nov 2021, 8:05 am by Mark Astarita
Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives. [read post]
1 Feb 2022, 11:15 am by Mark Astarita
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age. [read post]
3 Mar 2022, 7:55 am by Mark Astarita
The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jan 2022, 8:42 am by Mark Astarita
The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions. [read post]
30 Dec 2021, 11:00 am by Mark Astarita
The Securities and Exchange Commission today announced the appointments of Corey Frayer, Phil Havenstein, Jennifer Songer, and Jorge Tenreiro to Chair Gary Gensler’s executive staff. [read post]
15 Mar 2022, 2:40 pm by Mark Astarita
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. [read post]
18 Mar 2022, 8:55 am by Mark Astarita
The Securities and Exchange Commission today announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. [read post]