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SEC Awards More Than $1.8 Million to Whistleblower
29 Aug 2019, 10:06 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
29 Aug 2019, 9:01 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme
21 Aug 2019, 12:50 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
21 Aug 2019, 8:50 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Fee Rate Advisory #1 for Fiscal Year 2020
23 Aug 2019, 1:32 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
27 Aug 2019, 1:27 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
RSM US LLP Charged With Violating Auditor Independence Rules
27 Aug 2019, 9:02 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Ameriprise Hiring Binge
18 Oct 2019, 5:42 am by Astarita
Ameriprise's recruiting streak continues, with the onboarding of nine new advisers.The firm's hiring efforts have boosted headcount to 9,951 advisers for the second quarter from 9,906 from the year-ago period, according to the firm's last earnings report.More information at On Wall Street---The attorneys at Sallah Astarita & Cox, LLC have been representing brokers in transition for decades. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud
28 Oct 2019, 9:35 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC to Host Veterans Day Program for Active Duty Service Members and Veterans
30 Oct 2019, 9:35 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program
29 Oct 2019, 11:42 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme
16 Oct 2019, 1:04 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs
17 Oct 2019, 1:19 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
17 Oct 2019, 8:49 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Investor Advisory Committee to Meet on Nov. 7
22 Oct 2019, 7:39 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets
4 Nov 2019, 12:01 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints
4 Nov 2019, 9:41 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Amendments to Modernize Shareholder Proposal Rule
5 Nov 2019, 10:21 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
5 Nov 2019, 10:16 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
4 Nov 2019, 4:36 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/