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23 May 2023, 11:30 am
The Securities and Exchange Commission obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. [read post]
8 Aug 2023, 5:00 am
The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees…Read the Full Press Release Have a securities law question? [read post]
3 Dec 2022, 10:46 am
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. [read post]
31 May 2024, 10:00 am
The Securities and Exchange Commission today charged Robert Scott Murray and Trillium Capital LLC, a private company controlled by Murray, with a fraudulent scheme to manipulate the stock price of Getty Images Holdings Inc. by announcing a phony offer by…Read the Full Press Release Have a securities law question? [read post]
3 Dec 2024, 10:56 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 10, 2024, at 10 a.m. [read post]
27 Feb 2024, 1:41 pm
The Securities and Exchange Commission today charged Paul A. [read post]
18 Sep 2024, 6:15 am
The Securities and Exchange Commission today announced charges against registered broker-dealer First Horizon Advisors, Inc. for failing to maintain and enforce policies and procedures reasonably designed to achieve compliance with Regulation Best…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
13 Jul 2022, 8:25 am
The Securities and Exchange Commission today voted to adopt amendments to its rules governing proxy voting advice as proposed in November 2021. [read post]
4 Apr 2023, 7:55 am
The Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) today released its Fiscal Year (FY) 2022 Annual Report to Congress. [read post]
23 Jun 2023, 12:35 pm
The Securities and Exchange Commission today charged Wilson Baston with defrauding numerous investors in a Ponzi scheme, in which he raised millions of dollars through dozens of transactions purportedly to fund real estate investments, but frequently…Read the Full Press Release Have a securities law question? [read post]
SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections
24 Jan 2024, 8:06 am
The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business…Read the Full Press Release Have a securities law question? [read post]
15 Aug 2022, 11:10 am
The Securities and Exchange Commission today announced that Monique C. [read post]
17 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. [read post]
3 Sep 2024, 9:01 am
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2022, 7:05 am
The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. [read post]
27 Jul 2006, 11:26 pm
The US Attorney’s Office, the Securities and Exchange Commission (SEC) and the FBI have filed criminal and civil securities fraud charges against Gregory Reyes, the former chief executive, president and chairman of storage firm Brocade Communications Systems. [read post]
8 Jun 2022, 10:20 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]
3 Aug 2023, 7:10 am
The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other emergency relief against Digital Licensing Inc., a Draper, Utah based entity doing business as “DEBT Box,” as well as the…Read the Full Press Release Have a securities law question? [read post]
13 Jan 2025, 6:01 am
The Securities and Exchange Commission today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees who, from December 2020 until May 2023, sold mortgage-backed bonds using offering sheets and bond metrics that…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Sep 2023, 9:30 am
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million from more than 50 investors in a Ponzi scheme involving notes that were purportedly backed…Read the Full Press Release Have a securities law question? [read post]
