Search for: "Securities and Exchange Commission"
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3 Sep 2024, 9:01 am
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with…Read the Full Press Release Have a securities law question? [read post]
9 Sep 2024, 9:25 am
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. [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]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
1 Aug 2022, 8:52 am
The Securities and Exchange Commission today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions of retail investors worldwide, including…Read the Full Press ReleaseHave a securities law question? [read post]
2 Aug 2022, 11:08 am
The Securities and Exchange Commission today announced the appointment of Anthony (Tony) C. [read post]
16 Apr 2025, 11:50 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody. [read post]
3 Dec 2022, 10:46 am
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. [read post]
6 Feb 2024, 1:30 pm
The Securities and Exchange Commission today announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American depositary shares formerly traded on the…Read the Full Press Release Have a securities law question? [read post]
22 Dec 2023, 7:00 am
The Securities and Exchange Commission today announced awards of more than $28 million combined to seven individuals whose information and assistance led to a successful SEC enforcement action. [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]
13 Jan 2025, 6:01 am
The Securities and Exchange Commission today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees who, from December 2020 until May 2023, sold mortgage-backed bonds using offering sheets and bond metrics that…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Jul 2022, 11:20 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Tuesday, Aug. 2, which will address liquidity challenges for investors in small and emerging businesses. [read post]
22 Nov 2022, 1:05 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. [read post]
15 Apr 2022, 9:35 am
The Securities and Exchange Commission today announced charges and an asset freeze against several Las Vegas-area individuals and companies allegedly behind a nearly half-billion dollar Ponzi scheme involving purported personal injury settlements. [read post]
30 Sep 2024, 11:25 am
The Securities and Exchange Commission today announced settled charges against registered investment adviser Marathon Asset Management LP for failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Jan 2025, 9:30 am
The Securities and Exchange Commission today announced that Digital Currency Group Inc. [read post]
27 Feb 2025, 1:05 pm
The Securities and Exchange Commission today filed charges against Justinas Butkus, of Lithuania, and two companies he owned and controlled, HMC Trading LLC and HMC Management LLC, for fraudulently raising approximately $4.1 million from 64 investors by…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
20 Mar 2025, 9:40 am
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. [read post]
14 Dec 2023, 6:17 am
The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, the appointment of a receiver, and other emergency relief to halt an ongoing $191 million cattle Ponzi scheme being perpetrated by…Read the Full Press Release Have a securities law question? [read post]
