Search for: "Securities and Exchange Commission"
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1 Nov 2023, 9:40 am
The Securities and Exchange Commission today charged SafeMoon LLC, its creator Kyle Nagy, SafeMoon US LLC, and the companies’ Chief Executive Officer, John Karony, and Chief Technology Officer, Thomas Smith, for perpetrating a massive fraudulent scheme…Read the Full Press Release Have a securities law question? [read post]
9 Oct 2024, 1:06 pm
The Securities and Exchange Commission today announced fraud charges against three companies purporting to be market makers and nine individuals for engaging in schemes to manipulate the markets for various crypto assets being offered and sold as…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
28 Sep 2022, 2:45 pm
The Securities and Exchange Commission today announced charges against The Hydrogen Technology Corporation, its former CEO, Michael Ross Kane, and Tyler Ostern, the CEO of Moonwalkers Trading Limited, a self-described “market making” firm, for their…Read the Full Press ReleaseHave a securities law question? [read post]
6 Feb 2024, 9:00 am
The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity-providing roles in the markets, to register with the SEC, become…Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
30 May 2023, 11:15 am
The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and his brother, Nikhil Wahi, agreed to settle charges that they engaged in insider trading through a scheme to trade ahead of multiple announcements…Read the Full Press Release Have a securities law question? [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
12 Oct 2009, 4:01 am
Securities and Exchange Commission â [read post]
11 Jun 2018, 9:30 am
On June 6, 2018, the Securities and Exchange Commission (the “SEC”) charged Essex Capital Corporation and its founder, Ralph Iannelli, with defrauding investors in connection with the sale of over $80 million in promissory notes. [read post]
6 May 2012, 8:07 am
Securities and Exchange Commission. [read post]
8 Jul 2022, 3:59 am
The Certified Financial Planner Board (“CFP Board”) temporarily suspended Western International Securities Broker Patrick Egan after both the broker and firm were sued by the United States Securities and Exchange Commission (“SEC”) for selling GWG L Bonds that were not in the best interests of their customers. [read post]
27 Jan 2011, 4:47 pm
Under Rule 15Fi-1, the Securities and Exchange Commission’s proposed rule under the 1934 Securities Exchange Act, certain security-based swap participants and security-based swap dealers would provide counterparties with an electronic “trade acknowledgement” to acknowledge and verify specific security-based swap transactions. [read post]
29 Dec 2010, 10:09 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
30 Apr 2021, 1:35 pm
Treasury between 1987 and 2020, with inspiring the creation of similar programs to financially reward whistleblowers whose tips lead to successful enforcement actions at the following five U.S. agencies – the Internal Revenue Service (IRS) for tax evasion and tax law violations, the Securities and Exchange Commission (SEC) for violations of securities law and the Foreign Corrupt Practices Act, the Commodity Futures Trading Commission (CFTC) for… [read post]
26 Feb 2015, 12:55 pm
[This story previously appeared in Securities Regulation Daily.]By Rodney F. [read post]
12 Sep 2022, 3:29 am
The Securities and Exchange Commission has made it clear that one of its primary points of interest with private funds is fees and expenses. [read post]
7 Apr 2022, 9:01 pm
Securities and Exchange Commission. [read post]
1 Aug 2013, 6:23 am
Securities and Exchange Commission. [read post]
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [read post]
5 Jun 2009, 3:57 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Thursday charged [complaint, PDF] former Countrywide Financial Corporation officials with securities fraud arising from misleading investors. [read post]
