Search for: "SECLaw Staff" Results 161 - 180 of 247
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29 Jun 2016, 9:25 am by Mark Astarita
  I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [read post]
6 May 2015, 7:05 am by Mark Astarita
According to the article, the SEC staff has been consumed by writing rules for Dodd-Frank for the past four years, practically to the detriment of everything else, and it's not over, not by a long shot.Gallagher wants to spend more time on strengthening the trading system, but Dodd-Frank is taking up all the time.These are all hugely important things that are critical to the agency, but we're not spending time on them because we're doing silly rules like some of the ones… [read post]
19 Nov 2015, 6:00 am by SEClaw Staff
-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.SEC Announces Whistleblower Award of More Than $325,000The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement… [read post]
29 May 2012, 6:00 am by Mark Astarita
At the same time, Martens’ trial unit staff has stayed relatively flat at about 36. [read post]
22 Mar 2010, 9:47 am by Mark J. Astarita, Esq.
We can help your firm, and staff, understand the use of social media, create procedures to deal with these new communication tools, and implement those procedures to avoid costly exams and fines down the road.More>>> [read post]
18 Apr 2014, 8:00 am by Mark Astarita
After the SEC staff implemented the asset freeze, at the SEC's request the court lifted the seal today, permitting public announcement of the SEC's charges.The SEC alleges that TelexFree, Inc. and TelexFree, LLC claim to run a multilevel marketing company that sells telephone service based on "voice over Internet" (VoIP) technology but actually are operating an elaborate pyramid scheme. [read post]
3 Dec 2020, 7:54 am by Astarita
In addition, this proposed rule sets up an end run of the federal and state bankruptcy laws, essentially preventing firms who are in financial trouble from declaring bankruptcy, since withdrawals from the deposit cannot be made without FINRA approval.Adopting a rule that gives its own Staff the ability to decide who has to make the deposit, and the amount of that deposit, removes capital from those firms, harms their ability to continue to operate, and in the long run, harms the owners and… [read post]
8 Sep 2016, 9:24 am by Mark Astarita
  After warnings from internal accounting staff that an incorrect method was used to calculate AFFO in ARCP’s 2014 first quarter financial results, Block falsified the company’s AFFO presentation in the final hours before filing the company’s second quarter results. [read post]
8 Jul 2016, 9:09 am by Mark Astarita
  Working with the extraordinarily talented and dedicated staff of the Whistleblower Office and the Enforcement Division in standing up a groundbreaking and exemplary Whistleblower Office has been the highlight of my professional career. [read post]
8 Aug 2013, 10:30 am by Mark Astarita
Ultimately the Staff takes the customer's testimony under oath,At that time, the customer is faced with a choice - assist the investigation and testify, or refuse to testify and assert his rights under the Fifth Amendment. [read post]
10 Oct 2017, 1:34 pm by Mark Astarita
Jospin’s watch, the Atlanta office’s exam staff has increased collaboration with enforcement and generated substantial referrals, including those that led to several of the actions referenced above. [read post]
15 Apr 2016, 6:03 am by Mark Astarita
 The concept release, which arises out of the staff’s work on the Disclosure Effectiveness Initiative, would consider ways to enhance the disclosure requirements for the benefit of investors and companies. [read post]
20 Mar 2019, 2:51 pm by Mark Astarita
“Investors will benefit from the SEC staff’s exemplary work to improve disclosure,” said SEC Chairman Jay Clayton. [read post]
11 Apr 2016, 11:28 am by Mark Astarita
Sprung said, “It has been an honor to work with staff throughout the Division of Enforcement and the SEC who inspired me with their unwavering professionalism, skill and talent during my tenure at the agency. [read post]
27 Feb 2017, 9:00 am by Mark Astarita
Every review by the SEC Staff and Advisory Committees have recommending tightening the accredited investor definition, not removing it.But here is Mr. [read post]
16 Aug 2017, 12:35 pm by Mark Astarita
  Enhanced detection capabilities enabled SEC enforcement staff to spot the unusual trading activities. [read post]
13 Apr 2016, 6:12 pm by Mark Astarita
”Today’s charges are the latest example of SEC staff thwarting the efforts of insider traders to avoid detection by trading in a relative's brokerage account. [read post]
28 Sep 2017, 3:27 pm by Mark Astarita
The Commission staff will address these and any disclosure-related issues on a case-by-case basis in light of their fact-specific nature. [read post]
11 Aug 2014, 3:07 pm by Mark Astarita
They use their staff as the prosecutors, and use their internal administrative law judges as the judge and jury. [read post]
13 Jul 2016, 10:12 am by Mark Astarita
”  The proposing release is part of the disclosure effectiveness review, which is a broad-based staff review of the requirements, and the presentation and delivery of disclosures that companies make to investors. [read post]