Search for: "Securities and Exchange Commission"
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26 Aug 2004, 1:29 pm
The US Securities and Exchange Commission said Thursday that it had settled conflict of interest charges against Europe's Deutsche Bank for $87.5M. [read post]
SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients
14 Feb 2025, 8:06 am
The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
9 Jan 2023, 6:05 am
The Securities and Exchange Commission today charged Stephen J. [read post]
10 Jan 2024, 10:30 am
The Securities and Exchange Commission today announced charges against global software company SAP SE for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes in South Africa, Malawi, Kenya, Tanzania, Ghana, Indonesia,…Read the Full Press Release Have a securities law question? [read post]
23 Nov 2022, 9:10 am
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce…Read the Full Press ReleaseHave a securities law question? [read post]
23 Feb 2023, 9:25 am
The Securities and Exchange Commission today charged media and entertainment company Ozy Media Inc., its CEO Carlos R. [read post]
25 Apr 2022, 11:05 am
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 58 soliciting entities, 11 impersonators of genuine firms, and one…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jul 2022, 8:20 am
The Securities and Exchange Commission today announced insider trading charges against a former Coinbase product manager, his brother, and his friend for perpetrating a scheme to trade ahead of multiple announcements regarding certain crypto assets that…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jan 2025, 2:00 pm
The Securities and Exchange Commission today announced settled charges against New York-based investment advisers Two Sigma Investments LP and Two Sigma Advisers LP (collectively, Two Sigma) for breaching their fiduciary duties by failing to reasonably…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
29 Jun 2023, 8:21 am
The Securities and Exchange Commission today announced insider trading charges against Amit Dagar, a former Pfizer Inc. employee, and his close friend and business partner, Atul Bhiwapurkar, for trading in advance of the company’s November 5, 2021,…Read the Full Press Release Have a securities law question? [read post]
8 Aug 2023, 5:00 am
The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees…Read the Full Press Release Have a securities law question? [read post]
23 Aug 2023, 10:30 am
The Securities and Exchange Commission today reopened the comment period on its proposed rule that would redesignate and amend the current custody rule under the Investment Advisers Act of 1940 to enhance protections of customer assets managed by…Read the Full Press Release Have a securities law question? [read post]
18 Nov 2021, 11:45 am
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. [read post]
28 Jun 2022, 3:10 am
The Securities and Exchange Commission today charged Ernst & Young LLP (EY) for cheating by its audit professionals on exams required to obtain and maintain Certified Public Accountant (CPA) licenses, and for withholding evidence of this misconduct…Read the Full Press ReleaseHave a securities law question? [read post]
27 Sep 2024, 1:10 pm
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Helene on investors and capital markets. [read post]
19 Sep 2023, 8:47 am
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy former…Read the Full Press Release Have a securities law question? [read post]
15 Aug 2022, 10:05 am
The Securities and Exchange Commission today announced that Nicholas P. [read post]
1 Dec 2022, 10:28 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. [read post]
9 Mar 2023, 1:40 pm
The Securities and Exchange Commission today announced that Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, agreed to pay $3 million to settle charges for making misleading…Read the Full Press ReleaseHave a securities law question? [read post]
1 Mar 2023, 10:35 am
The Securities and Exchange Commission today charged Terren S. [read post]
