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24 Sep 2024, 10:45 am
The Securities and Exchange Commission today announced settled charges against TrueCoin LLC and TrustToken Inc. for their fraudulent and unregistered sales of investment contracts involving TrueUSD (TUSD), a purported stablecoin. [read post]
7 Apr 2025, 6:35 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading. [read post]
25 Aug 2022, 1:03 pm
The Securities and Exchange Commission today charged Granite Construction, Incorporated and its former Senior Vice President, Dale Swanberg, with fraud for inflating the financial performance of the major subdivision Swanberg managed. [read post]
13 May 2024, 8:05 am
Today the Securities and Exchange Commission and the U.S. [read post]
14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
21 Oct 2024, 1:05 pm
The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree Asset Management Inc. with making misstatements and for compliance failures relating to the execution of an investment strategy that was marketed as…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Nov 2024, 2:00 pm
The Securities and Exchange Commission today announced fraud charges against Stephen Kenneth (“Ken”) Leech, the former co-chief investment officer (CIO) of registered investment adviser Western Asset Management Company LLC or WAMCO, for engaging in a…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Mar 2025, 2:40 pm
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. [read post]
2 Nov 2022, 9:25 am
The Securities and Exchange Commission today voted to propose amendments to better prepare open-end funds for stressed conditions and to mitigate dilution of shareholders’ interests. [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]
14 Nov 2023, 12:11 pm
The Securities and Exchange Commission today announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over…Read the Full Press Release Have a securities law question? [read post]
26 Mar 2024, 6:05 am
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
3 Sep 2024, 12:30 pm
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in…Read the Full Press Release Have a securities law question? [read post]
16 Oct 2024, 12:25 pm
The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based aerospace and defense company, agreed to pay more than $124 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) in connection…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
20 Feb 2025, 6:36 am
The Securities and Exchange Commission today announced the creation of the Cyber and Emerging Technologies Unit (CETU) to focus on combatting cyber-related misconduct and to protect retail investors from bad actors in the emerging technologies space. [read post]
17 Aug 2022, 12:00 pm
The Securities and Exchange Commission today charged Global Business Development and Consulting Corp. [read post]
21 Feb 2023, 7:25 am
The Securities and Exchange Commission today announced charges against Ensign Peak Advisers Inc., a non-profit entity operated by The Church of Jesus Christ of Latter-day Saints to manage the Church’s investments, for failing to file forms that would…Read the Full Press ReleaseHave a securities law question? [read post]
11 May 2023, 1:06 pm
The Securities and Exchange Commission today announced that Amsterdam-based Koninklijke Philips N.V. will pay more than $62 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) with respect to conduct related to its sales…Read the Full Press Release Have a securities law question? [read post]
7 Jun 2022, 6:40 am
The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from…Read the Full Press ReleaseHave a securities law question? [read post]
10 Sep 2024, 7:51 am
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. [read post]
