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5 Sep 2023, 7:12 am
The Securities and Exchange Commission today charged Prime Group Holdings LLC, a private equity firm focused on alternative real estate asset classes, for failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to…Read the Full Press Release Have a securities law question? [read post]
1 Jun 2022, 12:30 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy today unveiled a game show-themed public service campaign to help investors make informed investment decisions and avoid fraud. [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. [read post]
Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients
28 Apr 2022, 1:14 pm
The Securities and Exchange Commission today charged publicly-traded asset manager Medley Management and its former co-CEOs, Brook B. [read post]
25 Jun 2024, 6:15 am
The Securities and Exchange Commission today filed charges against Meta Materials Inc. and its former CEOs, John Brda and George Palikaras. [read post]
15 Aug 2022, 1:40 pm
The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the…Read the Full Press ReleaseHave a securities law question? [read post]
7 Feb 2023, 12:46 pm
The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. [read post]
21 Jun 2023, 8:05 am
The Securities and Exchange Commission today charged audit firm Marcum LLP with systemic quality control failures and violations of audit standards in connection with audit work for hundreds of special purpose acquisition company (SPAC) clients beginning…Read the Full Press Release Have a securities law question? [read post]
18 Jul 2022, 1:20 pm
The Securities and Exchange Commission today announced that Jaime Lizárraga has been sworn into office as a Commissioner by Chair Gary Gensler. [read post]
1 Apr 2025, 12:25 pm
The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
22 Dec 2022, 7:51 am
The Securities and Exchange Commission today announced that General Counsel Dan Berkovitz will depart the agency, effective Jan. 31, 2023. [read post]
24 Sep 2024, 12:45 pm
The Securities and Exchange Commission today announced fraud charges against Baba Nadimpalli, the co-founder and former CEO of SKAEL Inc., a San Francisco-based private technology company that developed business automation software. [read post]
12 Jun 2023, 12:21 pm
The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing partner, Hal D. [read post]
29 Aug 2023, 6:15 am
The Securities and Exchange Commission today announced charges against Archipelago Trading Services Inc. [read post]
29 Sep 2023, 6:17 am
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and…Read the Full Press Release Have a securities law question? [read post]
SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
24 May 2022, 11:05 am
The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc., and its co-founder, Daniel Pipitone, with falsely stating to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact…Read the Full Press ReleaseHave a securities law question? [read post]
14 Jun 2022, 10:38 am
The Securities and Exchange Commission today charged New Jersey-based investment adviser Energy Capital Partners Management LP (ECP) with allocating undisclosed, disproportionate expenses to a private equity fund it advises. [read post]
8 Aug 2022, 10:06 am
The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent…Read the Full Press ReleaseHave a securities law question? [read post]
29 Sep 2022, 10:31 am
The Securities and Exchange Commission today charged Justin Costello for using a false persona, as a Harvard-educated military veteran and hedge fund billionaire, to defraud investors out of millions of dollars. [read post]
3 Oct 2022, 7:21 am
The Securities and Exchange Commission today announced that it will highlight the importance of long-term planning and investor resilience during World Investor Week (WIW) 2022, which takes place October 3-9. [read post]
