Search for: "Securities and Exchange Commission"
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30 Sep 2022, 7:00 am
The Securities and Exchange Commission today charged audit firm RSM US LLP and three senior-level employees with improper professional conduct for failing to properly audit Revolution Lighting Technologies Inc. [read post]
2 Oct 2024, 11:35 am
The Securities and Exchange Commission today announced that Gurbir S. [read post]
27 Sep 2024, 10:35 am
The Securities and Exchange Commission today announced charges against U.K. citizen Robert B. [read post]
22 Oct 2024, 6:15 am
The Securities and Exchange Commission today charged four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd, and Mimecast Limited – with making materially misleading disclosures regarding…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
31 Mar 2023, 11:50 am
The Securities and Exchange Commission today announced that Mark D. [read post]
19 Sep 2024, 8:01 am
The Securities and Exchange Commission today charged Idaho-based investment adviser Inspire Investing LLC with making misleading statements and for compliance failures related to the execution of its “biblically responsible investing” strategy. [read post]
11 Jun 2024, 8:05 am
The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recruitment startup Joonko, with defrauding investors of at least $21 million by making false and misleading statements about the…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]
26 Sep 2023, 1:02 pm
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash…Read the Full Press Release Have a securities law question? [read post]
23 Feb 2023, 11:35 am
The Securities and Exchange Commission today charged Andrew Stiles for insider trading in the stocks of Eastman Kodak Company and Novavax, Inc. based on nonpublic information related to both companies’ planned government partnerships to assist in the…Read the Full Press ReleaseHave 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]
11 Jan 2024, 1:30 pm
The Securities and Exchange Commission today charged Shanchun Huang with manipulative trading in the stock of Future FinTech Group Inc., using an offshore account shortly before he became Future FinTech’s CEO in 2020. [read post]
31 Oct 2022, 8:10 am
The Securities and Exchange Commission today charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers. [read post]
22 Nov 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings because it failed to follow generally accepted accounting principles (GAAP) in valuing one of its worst…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
2 Oct 2023, 8:02 am
The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023, which takes place October 2-8. [read post]
19 Jul 2022, 8:20 am
The Securities and Exchange Commission today announced an award of more than $17 million to a whistleblower who provided information and assistance in a covered action and related action. [read post]
23 Sep 2024, 12:15 pm
The Securities and Exchange Commission today announced charges against Texas-based registered investment adviser Atom Investors LP for its failure to maintain and preserve off-channel communications in violation of the recordkeeping provisions of the…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]
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]
30 Nov 2023, 10:16 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. [read post]
