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5 May 2023, 7:01 am
The Securities and Exchange Commission today announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. [read post]
1 Dec 2022, 8:55 am
The Securities and Exchange Commission today announced that David L. [read post]
18 Sep 2023, 11:29 am
The Securities and Exchange Commission today announced that it has posted to sec.gov the agency’s Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan for fiscal years 2023-2026 that builds on and advances the SEC’s DEIA commitment and…Read the Full Press Release Have a securities law question? [read post]
14 Jan 2025, 8:50 am
The Securities and Exchange Commission today charged Connecticut-based investment adviser Navy Capital Green Management, LLC with making misrepresentations related to its anti-money laundering (AML) procedures and for compliance failures. [read post]
10 Sep 2024, 1:36 pm
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes…Read the Full Press Release Have a securities law question? [read post]
22 Nov 2024, 8:21 am
The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC have agreed to settle charges that they filed with law enforcement suspicious…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
15 Jan 2025, 1:40 pm
The Securities and Exchange Commission today filed fraud charges against John Lowe, Randy Grewal, Richard Ringel, and David Cooper arising from their longstanding fraudulent scheme to trade in advance of the public announcement of the timing or price, or…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
15 Jun 2023, 12:55 pm
The Securities and Exchange Commission today announced that Michele Layne, the Director of the Los Angeles Regional Office, is leaving the agency this month after more than 27 years of service. [read post]
29 Jun 2023, 10:16 am
The Securities and Exchange Commission today announced insider trading charges against Jordan Meadow, a registered representative for a New York-based broker-dealer, and Steven Teixeira, the Chief Compliance Officer of an international payment processing…Read the Full Press Release Have a securities law question? [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
12 Jan 2024, 5:30 am
The Securities and Exchange Commission today charged investment banking giant Morgan Stanley & Co. [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]
14 Nov 2023, 1:01 pm
The Securities and Exchange Commission today announced settled charges against Charter Communications Inc. for violating internal accounting controls requirements when it engaged in stock buybacks not authorized by its board of directors. [read post]
16 Feb 2023, 1:55 pm
The Securities and Exchange Commission today announced that The Options Clearing Corporation (OCC) will undertake remedial efforts and pay $17 million in penalties to settle charges that it failed to comply with its SEC-approved Stress Testing and…Read the Full Press ReleaseHave a securities law question? [read post]
15 Sep 2023, 8:02 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 29 soliciting entities, three impersonators of genuine firms, and one…Read the Full Press Release Have a securities law question? [read post]
22 May 2025, 1:30 pm
The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
19 Jan 2023, 2:01 pm
The Securities and Exchange Commission today charged Nexo Capital Inc. with failing to register the offer and sale of its retail crypto asset lending product, the Earn Interest Product (EIP). [read post]
20 Mar 2023, 10:55 am
Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics: Students Fight for Investor Justice,” on Wednesday, March 29 from 11:00 a.m. to 12:00 p.m. [read post]
26 Sep 2024, 1:20 pm
The Securities and Exchange Commission today charged DraftKings Inc. with selectively disclosing material, nonpublic information to investors who followed or otherwise viewed the company CEO’s social media accounts without disclosing that same…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
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]
