Search for: "Securities and Exchange Commission"
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3 Jan 2024, 1:20 pm
The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief concerning an alleged $93 million real estate investment fraud perpetrated by Miami-based developer Rishi Kapoor. [read post]
17 Apr 2024, 11:50 am
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. [read post]
14 Mar 2024, 1:15 pm
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 predominantly Latino investors in the U.S. and two other…Read the Full Press Release Have a securities law question? [read post]
4 Nov 2022, 10:00 am
The Securities and Exchange Commission today announced charges against Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor, and Jonathan Tetreault for their roles in Trade Coin Club, a fraudulent crypto Ponzi scheme that raised more than 82,000…Read the Full Press ReleaseHave a securities law question? [read post]
21 Dec 2022, 6:10 pm
The Securities and Exchange Commission today charged Caroline Ellison, the former CEO of Alameda Research, and Zixiao (Gary) Wang, the former Chief Technology Officer of FTX Trading Ltd. [read post]
16 Mar 2023, 10:55 am
The Securities and Exchange Commission today charged American Patriot Brands 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]
25 Mar 2021, 10:22 am
The US Securities and Exchange Commission prosecutes approximately 50 insider trading cases […] The post Study shows that only 20% of all insider trading occurences are caught in the United States appeared first on Newman & Shapiro. [read post]
9 Sep 2024, 6:10 am
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential…Read the Full Press Release Have a securities law question? [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]
3 Aug 2022, 1:30 pm
The Securities and Exchange Commission today charged Surgalign Holdings, Inc., formerly RTI Surgical Holdings, Inc., and former executives Brian Hutchison and Robert Jordheim for masking disappointing sales numbers by shipping future orders ahead of…Read the Full Press ReleaseHave a securities law question? [read post]
2 Aug 2023, 7:30 am
The Securities and Exchange Commission today filed insider trading charges against Charles Rustin Holzer, a family office executive and former broker who last year settled SEC charges that he traded in options of Dun & Bradstreet Corp. [read post]
24 Mar 2022, 10:05 am
The Securities and Exchange Commission today announced that Daniel S. [read post]
17 Mar 2025, 1:40 pm
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 May 2025, 8:01 am
The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. [read post]
3 Apr 2023, 7:30 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “Investing for everyone. [read post]
25 Aug 2023, 6:16 am
The Securities and Exchange Commission today announced that 3M Company agreed to pay more than $6.5 million to resolve charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). [read post]
23 Aug 2024, 9:40 am
The Securities and Exchange Commission today announced awards of more than $98 million to two whistleblowers whose information and assistance led to an SEC enforcement action and an action brought by another agency. [read post]
29 Jan 2024, 2:36 pm
The Securities and Exchange Commission today charged Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their involvement in a fraudulent crypto asset pyramid scheme known as HyperFund that raised more than $1.7 billion from investors…Read the Full Press Release Have a securities law question? [read post]
22 Feb 2023, 8:35 am
The Securities and Exchange Commission today announced settled charges against African Gold Acquisition Corp., a publicly traded special purpose acquisition company (SPAC), for internal controls, reporting, and recordkeeping violations. [read post]
