Search for: "Securities and Exchange Commission"
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17 Sep 2024, 9:21 am
The Securities and Exchange Commission today announced that Prager Metis CPAs, LLC (Prager) and its California professional services firm, Prager Metis CPAs LLP, (collectively, the Prager Entities) agreed to pay $1.95 million to resolve two actions…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 May 2022, 8:05 am
The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. [read post]
25 Apr 2022, 8:05 am
The Securities and Exchange Commission today announced a total award of $6 million to two groups of whistleblowers who provided information and assistance in a single covered action. [read post]
1 Jun 2022, 1:25 pm
The Securities and Exchange Commission today announced eight new members to fill all vacancies on its Investor Advisory Committee. [read post]
14 Jun 2022, 12:16 pm
The Securities and Exchange Commission today charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond…Read the Full Press ReleaseHave a securities law question? [read post]
26 Jul 2023, 9:40 am
The Securities and Exchange Commission today proposed new rules that would require broker-dealers and investment advisers (collectively, “firms”) to take certain steps to address conflicts of interest associated with their use of predictive data…Read the Full Press Release Have a securities law question? [read post]
29 Aug 2023, 6:15 am
The Securities and Exchange Commission today announced charges against Archipelago Trading Services Inc. [read post]
28 Sep 2023, 3:52 pm
The Securities and Exchange Commission today charged Denver-based Spruce Power Holding Corporation, the successor to XL Fleet Corp., for misleading investors about revenue projections that topped $1 billion within three years of going public. [read post]
18 Mar 2024, 5:06 am
The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading statements about their purported use of artificial intelligence (AI). [read post]
3 Apr 2024, 12:50 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. [read post]
26 Sep 2024, 1:20 pm
The Securities and Exchange Commission today charged DraftKings Inc. with selectively disclosing material, nonpublic information to investors who followed or otherwise viewed the company CEO’s social media accounts without disclosing that same…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Jul 2022, 1:55 pm
The Securities and Exchange Commission today announced fraud charges against Equitable Financial Life Insurance Company for providing account statements to about 1.4 million variable annuity investors that included materially misleading statements and…Read the Full Press ReleaseHave a securities law question? [read post]
30 Aug 2022, 12:00 pm
The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. [read post]
22 Nov 2022, 1:05 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. [read post]
30 Mar 2023, 2:00 pm
The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in…Read the Full Press ReleaseHave a securities law question? [read post]
16 Feb 2024, 9:05 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 27, which will include a discussion of the accredited investor definition and initial public offerings…Read the Full Press Release Have a securities law question? [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]
12 Jun 2023, 7:36 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled a public service campaign that encourages older investors to never stop learning when it comes to protecting their hard-earned money and investing…Read the Full Press Release Have a securities law question? [read post]
12 Jul 2023, 11:05 am
The Securities and Exchange Commission today announced an award of more than $9 million to a whistleblower whose significant and detailed information and assistance led to a successful SEC enforcement action. [read post]
16 Feb 2023, 3:10 pm
The Securities and Exchange Commission today charged Milan Vinod Patel, of Cumming, Georgia, for spreading more than 100 false rumors about public companies to generate more than $1 million in illicit trading profits. [read post]
