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10 Nov 2022, 1:25 pm
The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. [read post]
2 Apr 2024, 12:05 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your financial future look like? [read post]
30 Sep 2024, 2:45 pm
The Securities and Exchange Commission today announced settled charges against James R. [read post]
14 Jan 2025, 7:36 am
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. [read post]
24 Sep 2024, 6:06 am
The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 Apr 2025, 7:01 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
30 Sep 2022, 8:00 am
The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. [read post]
4 Jun 2024, 12:05 pm
The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from 11 regional offices to 10. [read post]
12 Sep 2023, 2:06 pm
The Securities and Exchange Commission today filed charges against broker-dealer Virtu Americas LLC and its parent company, Virtu Financial Inc. [read post]
19 May 2023, 8:51 am
The Securities and Exchange Commission today announced that Mellissa Campbell Duru has been named Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance. [read post]
26 Jul 2023, 6:30 am
The Securities and Exchange Commission today charged investor Joseph C. [read post]
12 Sep 2022, 7:45 am
The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain…Read the Full Press ReleaseHave a securities law question? [read post]
21 Oct 2022, 1:10 pm
The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017 financial statements. [read post]
12 Mar 2024, 9:00 am
The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that…Read the Full Press Release Have a securities law question? [read post]
3 May 2022, 2:05 am
The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. [read post]
9 May 2022, 8:05 am
The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. [read post]
27 Apr 2022, 5:35 am
The Securities and Exchange Commission today charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses. [read post]
12 Dec 2024, 8:55 am
The Securities and Exchange Commission’s Office of the Investor Advocate today published its Report on Activities for the Fiscal Year 2024 to Congress, highlighting the work of the office during the fiscal year. [read post]
17 Jan 2025, 6:01 am
The Securities and Exchange Commission today announced settled charges against registered investment advisers Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively Wells Fargo Advisors) and against Merrill Lynch,…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
12 Aug 2024, 9:20 am
The Securities and Exchange Commission today announced charges against Cynthia and Eddy Petion, along with their company, NovaTech Ltd., for operating a fraudulent scheme that raised more than $650 million in crypto assets from more than 200,000…Read the Full Press Release Have a securities law question? [read post]
