Search for: "Securities and Exchange Commission"
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30 Sep 2024, 9:01 pm
In addition, the number of no-action requests submitted to the Securities and Exchange Commission (the “SEC”) increased compared to 2023. [read post]
30 Sep 2024, 2:45 pm
The Securities and Exchange Commission today announced settled charges against James R. [read post]
30 Sep 2024, 1:29 pm
Securities and Exchange Commission (SEC) reportedly filed a lawsuit against a California-based financial advisor, Robert Vance. [read post]
30 Sep 2024, 1:10 pm
The Securities and Exchange Commission today announced charges against registered broker-dealer TD Securities (USA) LLC for manipulating the U.S. [read post]
30 Sep 2024, 12:54 pm
This group is co-chaired by Former Securities and Exchange (SEC) Commissioner Allison Herren Lee and former SEC Enforcement Attorney Andrew Feller. [read post]
30 Sep 2024, 12:25 pm
The Securities and Exchange Commission today charged John LoPinto, Robert Wilkos, and Laren Pisciotti for their roles in a fraudulent scheme involving investments in pre-IPO private companies. [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]
30 Sep 2024, 9:45 am
The Securities and Exchange Commission has charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. [read post]
30 Sep 2024, 8:00 am
The Securities and Exchange Commission today charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. [read post]
30 Sep 2024, 6:30 am
In the past few weeks, the Securities and Exchange Commission (“SEC”) has announced three settled enforcement actions alleging violations of the internal controls provisions of the federal securities laws. [read post]
30 Sep 2024, 6:30 am
In the past few weeks, the Securities and Exchange Commission (“SEC”) has announced three settled enforcement actions alleging violations of the internal controls provisions of the federal securities laws. [read post]
27 Sep 2024, 3:15 pm
The Securities and Exchange Commission (SEC) has recently disclosed two settled enforcement actions against Prager Metis CPAs, an audit firm linked to FTX, the now-defunct crypto trading platform. [read post]
27 Sep 2024, 1:10 pm
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Helene on investors and capital markets. [read post]
27 Sep 2024, 12:45 pm
The Securities and Exchange Commission today adopted rule and form amendments intended to enhance the security of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system and improve filers’ access and account management capabilities. [read post]
27 Sep 2024, 11:45 am
The Securities and Exchange Commission today filed settled charges against Mango DAO and Blockworks Foundation for engaging in the unregistered offer and sale of crypto assets called “MNGO” tokens. [read post]
27 Sep 2024, 10:35 am
The Securities and Exchange Commission today announced charges against U.K. citizen Robert B. [read post]
27 Sep 2024, 10:05 am
The Securities and Exchange Commission today announced that Richard R. [read post]
SEC Charges Cassava Sciences, Two Former Execs on Misleading Claims About Alzheimer’s Clinical Trial
27 Sep 2024, 7:29 am
The Securities and Exchange Commission today announced Cassava Sciences, Inc., its founder and former CEO, Remi Barbier, and its former Senior Vice President of Neuroscience, Dr. [read post]
27 Sep 2024, 3:00 am
Senate Panel Calls for Changes at the Secret Service and a Budget Evaluation MSN – Maria Sacchetti and Jacqueline Alemany (Washington Post) | Published: 9/25/2024 A Senate committee investigating the July 13 shooting at a Donald Trump rally is urging Congress to evaluate the Secret Service’s budget and require the agency provide security to U.S. leaders and political candidates based on the threats they face, and not whether they are in office. [read post]
27 Sep 2024, 3:00 am
Watson: On September 20, 2024, the Securities and Exchange Commission obtained a final judgment against defendant Oliver-Barret Lindsay, a Canadian citizen, whom the SEC previously charged with insider trading in advance of an announcement by Long Blockchain Company (formerly known as Long Island Iced Tea Co.) that it was going to “pivot” from its existing beverage business to blockchain technology, which caused the company’s stock price to soar. [read post]
