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SEC Awards Approximately $3.6 Million to Whistleblower
12 May 2021, 8:46 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
12 May 2021, 6:16 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Broker Sells His Book, then Solicits his Clients
10 May 2021, 1:26 pm by Astarita
Call Mark Astarita at 212-509-6544 for legal assistance. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards $22 Million to Two Whistleblowers
10 May 2021, 12:56 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
7 May 2021, 11:36 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap
5 May 2021, 1:36 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Under Armour Inc. With Disclosure Failures
3 May 2021, 1:36 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis
3 May 2021, 9:02 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
29 Apr 2021, 1:31 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
28 Apr 2021, 2:01 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme
26 Apr 2021, 3:11 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30
26 Apr 2021, 11:11 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations
26 Apr 2021, 9:02 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud
23 Apr 2021, 10:42 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
23 Apr 2021, 10:11 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Alex Oh Named SEC Director of Enforcement
22 Apr 2021, 9:02 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Gary Gensler Names Initial Executive Staff Members
19 Apr 2021, 1:36 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising
19 Apr 2021, 11:46 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
19 Apr 2021, 7:36 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Gary Gensler Sworn in as Member of the SEC
17 Apr 2021, 9:22 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/