Search for: "Securities and Exchange Commission"
Results 2681 - 2700
of 22,358
Sorted by Relevance
|
Sort by Date
2 Aug 2022, 8:05 am
The Securities and Exchange Commission today announced settled charges against a convertible note dealer, Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot of Great Neck, N.Y., for failing to register with the SEC as…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2022, 10:43 am
The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information led to a successful SEC enforcement action and a related action. [read post]
6 Mar 2023, 1:40 pm
The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme involving a consultant in Guinea. [read post]
31 Mar 2023, 11:50 am
The Securities and Exchange Commission today announced that Mark D. [read post]
4 Apr 2023, 6:50 am
The Securities and Exchange Commission today charged Charlie Javice, the founder of the now shuttered student loan assistance company previously known as Frank, with fraud in connection with the $175 million sale of the company to JPMorgan Chase Bank, N. [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]
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]
14 Mar 2025, 3:45 pm
The Securities and Exchange Commission today announced a six-month extension of the compliance dates for amendments adopted in September 2023 to the Investment Company Act “Names Rule,” which addresses fund names likely to mislead investors about a fund’…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
23 May 2023, 11:30 am
The Securities and Exchange Commission obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. [read post]
25 Sep 2023, 6:01 am
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. [read post]
29 Sep 2023, 5:02 am
The Securities and Exchange Commission today announced that Charlotte-based Albemarle Corporation, a global specialty chemicals company, agreed to pay more than $103.6 million to settle the SEC’s charges that it violated the anti-bribery, recordkeeping,…Read the Full Press Release Have a securities law question? [read post]
13 Oct 2023, 9:20 am
The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. [read post]
28 Apr 2022, 6:25 am
The Securities and Exchange Commission today charged Vale S.A., a publicly traded Brazilian mining company and one of the world’s largest iron ore producers, with making false and misleading claims about the safety of its dams prior to the January 2019…Read the Full Press ReleaseHave a securities law question? [read post]
29 Jun 2022, 11:20 am
The Securities and Exchange Commission today announced that Kurt L. [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]
25 Apr 2024, 11:20 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. [read post]
29 May 2012, 5:47 pm
Securities Exchange Commission v. [read post]
19 Sep 2024, 8:36 am
The Securities and Exchange Commission today announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for overvaluing approximately 4,900 largely illiquid…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
9 Oct 2024, 6:45 am
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. [read post]
22 Oct 2024, 6:15 am
The Securities and Exchange Commission today charged four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd, and Mimecast Limited – with making materially misleading disclosures regarding…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
