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2 Feb 2024, 9:45 am
The Securities and Exchange Commission today announced that Brian Sewell and his company, Rockwell Capital Management, agreed to settle fraud charges in connection with a scheme that targeted students taking Sewell’s online crypto trading course known as…Read the Full Press Release Have a securities law question? [read post]
26 Mar 2024, 6:05 am
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
23 Mar 2023, 9:01 am
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 a period of two and a half…Read the Full Press ReleaseHave a securities law question? [read post]
17 Apr 2023, 8:36 am
The Securities and Exchange Commission today announced the appointment of Deborah J. [read post]
26 Jul 2023, 6:30 am
The Securities and Exchange Commission today charged investor Joseph C. [read post]
24 Aug 2022, 11:35 am
The Securities and Exchange Commission today released for public comment a draft strategic plan for fiscal years 2022 to 2026. [read post]
21 Sep 2023, 9:36 am
The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more…Read the Full Press Release Have a securities law question? [read post]
21 Oct 2024, 7:35 am
The Securities and Exchange Commission’s Division of Examinations today released its 2025 examination priorities. [read post]
19 Dec 2024, 1:35 pm
The Securities and Exchange Commission today announced that Illinois-based AAR CORP., a global provider of aviation services and products, agreed to resolve Foreign Corrupt Practices Act (FCPA) charges in connection with two bribery schemes. [read post]
Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
14 Feb 2023, 11:00 am
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12, 2023. [read post]
8 Nov 2024, 6:06 am
The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making misleading statements about the percentage of company-wide assets under management that integrated environmental, social, and governance (ESG) factors in investment…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
3 Dec 2024, 6:15 am
The Securities and Exchange Commission today filed settled charges against Houston-based biotherapeutics company Kiromic BioPharma, Inc., its former CEO, Maurizio Chiriva-Internati, and its former chief financial officer, Tony Tontat, for failing to…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
6 Feb 2024, 1:30 pm
The Securities and Exchange Commission today announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American depositary shares formerly traded on the…Read the Full Press Release Have a securities law question? [read post]
16 Feb 2024, 6:06 am
The Securities and Exchange Commission today announced that registered investment adviser Van Eck Associates Corporation has agreed to pay a $1.75 million civil penalty to settle charges that it failed to disclose a social media influencer’s role in the…Read the Full Press Release Have a securities law question? [read post]
14 Mar 2024, 1:15 pm
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 predominantly Latino investors in the U.S. and two other…Read the Full Press Release Have a securities law question? [read post]
23 Aug 2023, 1:31 pm
The Securities and Exchange Commission today announced insider trading charges against Romero Cabral da Costa Neto for trading based on material, nonpublic information concerning a client of the global law firm where he worked as a visiting attorney from…Read the Full Press Release Have a securities law question? [read post]
29 Sep 2023, 7:38 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. [read post]
10 Jan 2024, 10:30 am
The Securities and Exchange Commission today announced charges against global software company SAP SE for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes in South Africa, Malawi, Kenya, Tanzania, Ghana, Indonesia,…Read the Full Press Release Have a securities law question? [read post]
9 Dec 2024, 2:50 pm
The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions of dollars of…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
3 Feb 2023, 6:01 am
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure…Read the Full Press ReleaseHave a securities law question? [read post]
