Search for: "Securities and Exchange Commission"
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3 Sep 2024, 1:45 pm
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. [read post]
3 Sep 2024, 12:30 pm
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 10:52 am
I received several comments about the post, including a note from Keith Paul Bishop of the Allen Matkins law firm, who writes the California Corporate & Securities Law blog. [read post]
3 Sep 2024, 10:50 am
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 9:21 am
Some foreign corruption cases are covered by the Securities and Exchange Commission’s (SEC) whistleblower program, but many of the foreign corruption cases we prosecute are not. [read post]
3 Sep 2024, 9:01 am
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 7:00 am
Securities and Exchange Commission (“SEC”) filed a complaint against Lufkin Advisors, LLC, a now de-registered Registered Investment Adviser, and its President, Chauncey Forbush Lufkin, III (collectively, “Defendants”) in the U.S. [read post]
3 Sep 2024, 6:40 am
Treadwell of the US District Court for the Middle District of Georgia and as an honors intern for the US Securities and Exchange Commission’s Division of Enforcement.Olivia is a graduate of Mercer University School of Law, where she received her juris doctor degree, cum laude, and was a member of the Mercer Law Review. [read post]
2 Sep 2024, 9:06 pm
” The administrative state comprises the agencies that deliver or oversee public benefits and services—for example, the Postal Service, the Social Security Administration, the Centers for Medicare and Medicaid Services—and the agencies that regulate industry to promote safety, health, and welfare—such as the Environmental Protection Agency (EPA), the Securities and Exchange Commission, and the Federal Trade Commission. [read post]
2 Sep 2024, 7:16 am
In addition, various kinds of AI-related corporate and securities lawsuits have arisen, as well, including securities class action litigation. [read post]
1 Sep 2024, 10:48 am
Additionally, the Securities and Exchange Commission has voluntarily stayed its own rules requiring public companies to disclose GHG emissions, further complicating the regulatory environment. [read post]
1 Sep 2024, 6:30 am
Securities and Exchange Commission (SEC) has filed a legal brief in the Eighth Circuit Court of Appeals in support of its controversial climate disclosure rules (Climate Rules). [read post]
1 Sep 2024, 6:30 am
Securities and Exchange Commission (SEC) has filed a legal brief in the Eighth Circuit Court of Appeals in support of its controversial climate disclosure rules (Climate Rules). [read post]
30 Aug 2024, 5:06 pm
agreed to pay $22.5 million to resolve allegations that it knowingly submitted inaccurate diagnosis codes for its Medicare Advantage Plan enrollees that were not supported by the patients’ medical records to increase reimbursements from Medicare.In addition to securing these settlements, the Justice Department continued to litigate a number of other cases involving the Medicare Advantage program, including actions against UnitedHealth Group, Independent Health Corporation,… [read post]
30 Aug 2024, 9:02 am
In the second, it offered as an example that an employee exchanged text messages on an unapproved platform with a client concerning investment strategy. [read post]
30 Aug 2024, 8:39 am
The Securities and Exchange Commission (SEC) has been equally vocal in encouraging whistleblowers to report potential violations as soon as possible under the SEC Whistleblower Program, which was evident in their two recent awards this past week—$24 million on August 26 and $98 million on August 23. [read post]
30 Aug 2024, 7:49 am
Federal Trade Commission v. [read post]
30 Aug 2024, 3:00 am
National/Federal Feds Charge Crypto Lobbyist Linked to Former FTX Executive with Campaign Finance Crimes Courthouse News Service – John Russell | Published: 8/22/2024 Federal prosecutors unsealed an indictment accusing convicted former FTX executive Ryan Salame’s girlfriend of receiving illegal campaign contributions during her unsuccessful bid for a New York congressional seat in 2022. [read post]
30 Aug 2024, 3:00 am
In In re Alphabet, the Ninth Circuit held that falsity allegations could survive a motion to dismiss when the complaint plausibly alleged that a company’s Securities and Exchange Commission (SEC) filings warned that risks “could” occur, when in fact those risks had already materialized. [read post]
29 Aug 2024, 9:05 pm
Securities and Exchange Commission to comply with anti-money laundering and counter terrorism financing requirements. [read post]
