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SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
6 Aug 2021, 8:55 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Unlicensed Broker With Defrauding Investors
28 Jul 2021, 11:35 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
26 Jul 2021, 1:35 pm by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
23 Sep 2021, 12:15 pm by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
17 Jun 2021, 10:55 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
15 Jul 2021, 7:30 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings
6 Aug 2021, 6:09 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud
13 Aug 2021, 7:25 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme
25 Jun 2021, 12:05 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Investor Advisory Committee to Meet Remotely On June 10
8 Jun 2021, 7:51 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former CEO of Technology Company With $80 Million Fraud
25 Aug 2021, 9:08 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards $11.5 Million to Two Whistleblowers
17 Sep 2021, 7:55 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
20 Sep 2021, 9:10 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
16 Sep 2021, 10:50 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Principals of Subprime Automobile Finance Company with Fraud
23 Sep 2021, 11:05 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
11 Jun 2021, 11:01 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Approximately $36 Million to Whistleblower
24 Sep 2021, 8:00 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Sanjay Wadhwa Named Deputy Director of Enforcement Division
18 Aug 2021, 10:05 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Monitoring Impact of Hurricane Ida on Capital Markets
31 Aug 2021, 12:25 pm by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme
25 Aug 2021, 6:45 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/