Search for: "Securities and Exchange Commission"
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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]
25 Sep 2023, 6:01 am
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. [read post]
26 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. [read post]
30 Sep 2022, 8:00 am
The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. [read post]
25 Jan 2023, 10:05 am
The Securities and Exchange Commission today announced that Silvestre A. [read post]
5 Sep 2024, 9:02 am
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. [read post]
26 Aug 2024, 2:35 pm
The Securities and Exchange Commission today announced that it obtained emergency asset freezes against Jonathan Adam, a resident of Angleton, Texas, and his brother, Tanner Adam, a resident of Miami, Florida, and against their respective entities, GCZ…Read the Full Press Release Have a securities law question? [read post]
5 May 2023, 11:10 am
The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. [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]
10 Jan 2025, 10:06 am
The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc., an operator of multiple alternative trading systems (ATSs), for failing to have necessary controls and procedures regarding market access, for…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
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]
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]
19 Mar 2024, 6:00 am
The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered…Read the Full Press Release Have a securities law question? [read post]
16 Sep 2024, 1:51 pm
The Securities and Exchange Commission today filed charges against Paul D. [read post]
