Search for: "Securities and Exchange Commission"
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8 Aug 2022, 10:06 am
The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent…Read the Full Press ReleaseHave a securities law question? [read post]
10 Sep 2024, 6:06 am
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. [read post]
9 Aug 2024, 1:25 pm
The Securities and Exchange Commission today announced settled fraud charges against Ideanomics, Inc., formerly known as Seven Stars Cloud Group, Inc., and its former Chairman and CEO, Zheng (Bruno) Wu, for misleading the public about the company’s…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]
4 May 2023, 9:31 am
The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. [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]
28 Mar 2022, 12:40 pm
The Securities and Exchange Commission today announced insider trading charges against three software engineers employed at Twilio, Inc., a San Francisco-based cloud computing communications company, and four family members and friends for allegedly…Read the Full Press ReleaseHave a securities law question? [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
12 Aug 2024, 9:20 am
The Securities and Exchange Commission today announced charges against Cynthia and Eddy Petion, along with their company, NovaTech Ltd., for operating a fraudulent scheme that raised more than $650 million in crypto assets from more than 200,000…Read the Full Press Release Have a securities law question? [read post]
SEC Charges Police Chief Four Others in Connection with Insider Trading Before Pharmaceutical Merger
29 Jun 2023, 8:16 am
The Securities and Exchange Commission today filed insider trading charges against five individuals, including a police chief in Dighton, Massachusetts, arising from trading before the announcement of a tender offer by Alexion Pharmaceuticals Inc. to…Read the Full Press Release Have a securities law question? [read post]
15 Jan 2025, 6:40 am
The Securities and Exchange Commission is closely monitoring the impact of the California wildfires on investors and capital markets. [read post]
6 Sep 2023, 1:16 pm
The Securities and Exchange Commission today announced that Irving, Texas-based Fluor Corporation will pay $14.5 million to settle charges stemming from the company’s improper accounting on two large-scale, fixed-price construction projects. [read post]
28 Apr 2022, 6:25 am
The Securities and Exchange Commission today charged Vale S.A., a publicly traded Brazilian mining company and one of the world’s largest iron ore producers, with making false and misleading claims about the safety of its dams prior to the January 2019…Read the Full Press ReleaseHave a securities law question? [read post]
25 Jul 2024, 10:45 am
The Securities and Exchange Commission today charged Babu Ramaraj, a resident of Aldie, Virginia, with defrauding more than 70 investors of approximately $31 million through his company, DAB Inspection and Consulting Services LLC. [read post]
Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients
28 Apr 2022, 1:14 pm
The Securities and Exchange Commission today charged publicly-traded asset manager Medley Management and its former co-CEOs, Brook B. [read post]
20 May 2022, 6:15 am
The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports (SARs) in a timely manner between April 2017 and October 2021. [read post]
29 Feb 2024, 1:25 pm
The Securities and Exchange Commission today charged Lordstown Motors Corp. with misleading investors about the sales prospects of Lordstown’s flagship electric pickup truck, the Endurance. [read post]
13 Jan 2023, 7:01 am
The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action. [read post]
5 Jun 2023, 8:36 am
The Securities and Exchange Commission today charged Binance Holdings Ltd. [read post]
29 Sep 2023, 6:17 am
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and…Read the Full Press Release Have a securities law question? [read post]
