Search for: "Securities and Exchange Commission"
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1 Aug 2022, 8:52 am
The Securities and Exchange Commission today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions of retail investors worldwide, including…Read the Full Press ReleaseHave a securities law question? [read post]
12 Aug 2024, 1:20 pm
The Securities and Exchange Commission today announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file numerous reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), for a period of…Read the Full Press Release Have a securities law question? [read post]
10 Sep 2024, 1:36 pm
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes…Read the Full Press Release Have a securities law question? [read post]
19 Sep 2023, 6:56 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. [read post]
13 Dec 2022, 9:47 am
The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered in Denmark, for misleading investors about its anti-money laundering (AML) compliance program in its…Read the Full Press ReleaseHave a securities law question? [read post]
2 Aug 2022, 11:08 am
The Securities and Exchange Commission today announced the appointment of Anthony (Tony) C. [read post]
21 Dec 2022, 7:37 am
The Securities and Exchange Commission announced today that Sarah ten Siethoff has been named Deputy Director of the Division of Investment Management. [read post]
29 Sep 2023, 5:31 am
The Securities and Exchange Commission today charged Newell Brands Inc., a Georgia-based consumer products company and its former CEO, Michael Polk, with misleading investors about Newell’s core sales growth, a non-GAAP (Generally Accepted Accounting…Read the Full Press Release Have a securities law question? [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]
29 Sep 2022, 8:05 am
The Securities and Exchange Commission today charged Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China), the Chinese affiliate of the Deloitte global network of accounting firms, with failing to comply with fundamental U.S. [read post]
7 Dec 2023, 11:01 am
The Securities and Exchange Commission today announced that Daniel R. [read post]
12 Jun 2024, 2:05 pm
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. [read post]
26 Sep 2024, 1:40 pm
The Securities and Exchange Commission today announced settled charges against Florida-based GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Apr 2022, 10:05 am
The Securities and Exchange Commission today announced charges against Fernando Passos, the former executive vice president of finance and investor relations of Brazilian reinsurance company IRB Brasil Resseguros S.A., for allegedly planting a false…Read the Full Press ReleaseHave a securities law question? [read post]
31 May 2022, 3:00 pm
The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board, Marc S. [read post]
30 Jun 2023, 10:30 am
The Securities and Exchange Commission today charged Oregon residents Robert D. [read post]
12 Sep 2023, 6:02 am
The Securities and Exchange Commission today charged Alfonse Gregory Giugliano, CPA, the former National Assurance Services Leader at Marcum LLP, a public accounting firm, with failing to sufficiently address and remediate numerous deficiencies in Marcum…Read the Full Press Release Have a securities law question? [read post]
4 Apr 2024, 1:15 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m. [read post]
24 Jun 2024, 12:00 pm
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 24 soliciting entities, six impersonators of genuine firms, and four…Read the Full Press Release Have a securities law question? [read post]
10 Oct 2024, 8:06 am
The Securities and Exchange Commission today announced charges against Rimar Capital USA, Inc. [read post]
