Search for: "Securities and Exchange Commission"
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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]
24 Jan 2023, 8:05 am
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. [read post]
19 Jul 2023, 12:05 pm
The Securities and Exchange Commission today charged six individuals with a multi-million dollar Ponzi-like fraud scheme orchestrated by criminal recidivist Eliyahu Weinstein of Lakewood, New Jersey. [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]
16 Aug 2022, 1:35 pm
The Securities and Exchange Commission today charged Eagle Bancorp, Inc., based in Bethesda, Maryland, and its former Chief Executive Officer and Chairman of the Board, Ronald D. [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]
25 Jul 2022, 7:20 am
The Securities and Exchange Commission today filed insider trading charges against Stephen Buyer, a former U.S. [read post]
27 Jul 2022, 11:20 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Tuesday, Aug. 2, which will address liquidity challenges for investors in small and emerging businesses. [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]
27 Sep 2023, 6:05 am
The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. [read post]
20 May 2024, 3:55 pm
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. [read post]
18 Sep 2024, 12:20 pm
The Securities and Exchange Commission today announced settled charges against Rari Capital, Inc., a supposed decentralized finance (DeFi) protocol, and its co-founders, Jai Bhavnani, Jack Lipstone, and David Lucid, for misleading investors and engaging…More information at SECLaw.com Read the Full Press Release Have a securities law question? [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]
25 Mar 2022, 8:55 am
The Securities and Exchange Commission today announced that Erin E. [read post]
2 Jun 2022, 2:10 pm
The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA)…Read the Full Press ReleaseHave a securities law question? [read post]
27 Jun 2023, 4:05 pm
The Securities and Exchange Commission today filed a settled complaint charging Las Vegas-based nutritional supplement company MusclePharm Corp. [read post]
2 Jun 2022, 9:11 am
The Securities and Exchange Commission today charged the town of Sterlington, Louisiana and its former mayor, Vern A. [read post]
7 Nov 2022, 11:30 am
The Securities and Exchange Commission today announced that Chief of Staff Prashant Yerramalli will leave the agency, effective Dec. 31, 2022. [read post]
5 Dec 2022, 11:01 am
The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty and three company executives agreed to pay $25,000 apiece stemming from charges brought in March 2021 related to the company’s selective disclosure…Read the Full Press ReleaseHave a securities law question? [read post]
16 Feb 2024, 8:06 am
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2. [read post]
