Search for: "Securities and Exchange Commission"
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25 Aug 2023, 6:05 am
The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in…Read the Full Press Release Have a securities law question? [read post]
23 Feb 2023, 11:35 am
The Securities and Exchange Commission today charged Andrew Stiles for insider trading in the stocks of Eastman Kodak Company and Novavax, Inc. based on nonpublic information related to both companies’ planned government partnerships to assist in the…Read the Full Press ReleaseHave a securities law question? [read post]
28 Sep 2023, 2:01 pm
The Securities and Exchange Commission today charged Exelon Corporation, electric utility company Commonwealth Edison Company (ComEd), which is Exelon’s subsidiary, and former ComEd CEO Anne Pramaggiore with fraud in connection with a multi-year scheme…Read the Full Press Release Have a securities law question? [read post]
19 Dec 2023, 7:05 am
The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other emergency relief against Mmobuosi Odogwu Banye a/k/a Dozy Mmobuosi and three affiliated U.S. based entities of which he is the…Read the Full Press Release Have a securities law question? [read post]
2 Sep 2022, 10:05 am
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. [read post]
7 Feb 2023, 8:02 am
The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. [read post]
4 Aug 2023, 8:05 am
The Securities and Exchange Commission today announced awards of more than $104 million to seven individuals whose information and assistance led to a successful SEC enforcement action and related actions brought by another agency. [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]
29 Feb 2024, 1:25 pm
The Securities and Exchange Commission today charged Lordstown Motors Corp. with misleading investors about the sales prospects of Lordstown’s flagship electric pickup truck, the Endurance. [read post]
6 Jun 2022, 12:40 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. [read post]
6 May 2022, 8:50 am
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. [read post]
14 Sep 2022, 10:10 am
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. [read post]
24 Oct 2022, 1:40 pm
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. [read post]
SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO
17 Dec 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against Ohio-based Express, Inc., a multi-brand American fashion retailer, for failing to disclose executive compensation it paid to its now former CEO. [read post]
12 Jul 2024, 7:00 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. [read post]
12 Sep 2024, 11:10 am
The Securities and Exchange Commission today announced settled charges against three sales agents from StraightPath Venture Partners—Anthony Guarino, Robert Seropian, and Frank Vecchio—for unregistered broker activity, including selling membership…Read the Full Press Release Have a securities law question? [read post]
25 May 2022, 7:00 am
The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. [read post]
19 Sep 2023, 6:06 am
The Securities and Exchange Commission today announced settled charges against CBRE, Inc. [read post]
31 Oct 2023, 11:00 am
The Securities and Exchange Commission today announced fraud charges against Eduardo Hernandez, Christopher Flagg, Daquan Lloyd, and Corey Ortiz, all currently or formerly of Long Island, New York, for perpetrating a multi-year “free-riding” scheme that…Read the Full Press Release Have a securities law question? [read post]
7 Aug 2023, 7:06 am
The Securities and Exchange Commission today announced settled charges against Theorem Fund Services LLC (TFS), a fund administrator based in Boca Raton, Florida, for failing to respond to red flags relating to a fraud against a private fund and its…Read the Full Press Release Have a securities law question? [read post]
