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27 Nov 2024, 7:15 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 14 soliciting entities, two impersonators of genuine firms, and four…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
12 Jun 2023, 7:36 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled a public service campaign that encourages older investors to never stop learning when it comes to protecting their hard-earned money and investing…Read the Full Press Release Have a securities law question? [read post]
29 Apr 2022, 3:50 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) commemorated National Financial Capability Month by hosting a slate of outreach and education events for investors. [read post]
14 Feb 2025, 9:05 am
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Sep 2024, 6:15 am
The Securities and Exchange Commission today announced charges against registered broker-dealer First Horizon Advisors, Inc. for failing to maintain and enforce policies and procedures reasonably designed to achieve compliance with Regulation Best…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
28 Feb 2023, 10:30 am
The Securities and Exchange Commission today charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. [read post]
24 Feb 2023, 9:45 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. [read post]
25 Jul 2023, 8:05 am
The Securities and Exchange Commission today announced that Natasha Vij Greiner and Keith E. [read post]
21 Mar 2024, 6:00 am
As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) published two reports: the 2022 Diversity Assessment Report for…Read the Full Press Release Have a securities law question? [read post]
9 Dec 2024, 2:50 pm
The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions of dollars of…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
23 Jun 2023, 12:35 pm
The Securities and Exchange Commission today charged Wilson Baston with defrauding numerous investors in a Ponzi scheme, in which he raised millions of dollars through dozens of transactions purportedly to fund real estate investments, but frequently…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2023, 2:00 pm
The Securities and Exchange Commission today charged Colombian conglomerate Grupo Aval Acciones y Valores S.A., aka Grupo Aval S.A., and its bank subsidiary, Corporación Financiera Colombiana S.A. [read post]
18 Nov 2024, 1:10 pm
The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penalty to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) from 2017 to 2019 by…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
20 Nov 2024, 1:01 pm
The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an executive of Azure Power Global Ltd., for conduct arising out of a massive bribery scheme. [read post]
29 Sep 2022, 8:05 am
The Securities and Exchange Commission today charged Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China), the Chinese affiliate of the Deloitte global network of accounting firms, with failing to comply with fundamental U.S. [read post]
28 Sep 2023, 7:47 am
The Securities and Exchange Commission today announced charges against the former Chief Financial Officer, Edward O’Donnell, and the former Chief Commercial Officer, Victor Bozzo, of New York-based telecommunications company Pareteum Corp. for engaging…Read the Full Press Release Have a securities law question? [read post]
31 May 2024, 10:00 am
The Securities and Exchange Commission today charged Robert Scott Murray and Trillium Capital LLC, a private company controlled by Murray, with a fraudulent scheme to manipulate the stock price of Getty Images Holdings Inc. by announcing a phony offer by…Read the Full Press Release Have a securities law question? [read post]
17 Jun 2024, 8:20 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its new public service campaign, which highlights investor protection and encourages investors to explore the free tools and resources on Investor. [read post]
27 Sep 2024, 10:05 am
The Securities and Exchange Commission today announced that Richard R. [read post]
16 Feb 2023, 3:10 pm
The Securities and Exchange Commission today charged Milan Vinod Patel, of Cumming, Georgia, for spreading more than 100 false rumors about public companies to generate more than $1 million in illicit trading profits. [read post]
