Search for: "Securities and Exchange Commission"
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12 Sep 2022, 1:40 pm
The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying…Read the Full Press ReleaseHave a securities law question? [read post]
29 May 2024, 7:55 am
The Securities and Exchange Commission today instituted settled proceedings against formerly registered investment adviser Mass Ave Global Inc. [read post]
13 Oct 2022, 10:00 am
The Securities and Exchange Commission today charged New Jersey-based National Realty Investment Advisors LLC (NRIA) and four of its former executives with running a Ponzi-like scheme that raised approximately $600 million from about 2,000 investors. [read post]
30 May 2023, 2:05 pm
The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co. [read post]
25 Sep 2024, 6:06 am
The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. for exceeding clients’ designated investment limits over a two-year period beginning in March 2016…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
29 Apr 2025, 1:25 pm
The Securities and Exchange Commission today announced charges against Dallas-Fort Worth residents Kenneth W. [read post]
20 Jun 2023, 1:21 pm
The Securities and Exchange Commission today announced settled charges against Stanley Black & Decker Inc., a publicly traded tools company, for failing to disclose perquisites it provided to certain executives. [read post]
13 Jan 2025, 11:15 am
The Securities and Exchange Commission today charged Alfred V. [read post]
5 Jan 2023, 11:00 am
The Securities and Exchange Commission today charged Randy Robertson, a former BlackRock Advisors, LLC portfolio manager, for failing to disclose a conflict of interest arising from his relationship with a film distribution company in which the fund he…Read the Full Press ReleaseHave a securities law question? [read post]
5 May 2023, 11:10 am
The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. [read post]
10 Nov 2021, 8:51 am
The Securities and Exchange Commission today instituted proceedings against American CryptoFed DAO LLC, a Wyoming-based organization, halting the effectiveness of the company’s registration of two digital tokens as securities. [read post]
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]
2 Jun 2022, 2:10 pm
The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA)…Read the Full Press ReleaseHave a securities law question? [read post]
9 Oct 2024, 11:36 am
The Securities and Exchange Commission today charged Minerco Inc. [read post]
20 Dec 2024, 5:45 am
The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil penalty to settle charges that it failed to maintain internal accounting controls to ensure that its…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
19 May 2025, 4:35 pm
The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. [read post]
20 Dec 2024, 2:55 pm
The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported “algorithmic stablecoin” issued by Terraform Labs PTE Ltd. [read post]
22 Jun 2022, 12:50 pm
The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term…Read the Full Press ReleaseHave a securities law question? [read post]
5 Sep 2023, 11:17 am
The Securities and Exchange Commission today announced charges against five investment advisers for failing to comply with requirements related to the safekeeping of client assets. [read post]
19 Jul 2023, 12:05 pm
The Securities and Exchange Commission today charged six individuals with a multi-million dollar Ponzi-like fraud scheme orchestrated by criminal recidivist Eliyahu Weinstein of Lakewood, New Jersey. [read post]
