The Law of the Financial Markets from Top Securities Lawyers
Wednesday, January 15, 2025
The Securities and Exchange Commission (SEC) has updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list, adding 23 entities that are soliciting primarily non-U.S. investors using misleading information. The list also includes eight impersonators of genuine firms and seven bogus regulators. What is the PAUSE list? The PAUSE list is […]
The Securities and Exchange Commission today announced an award of over $1.25 million to a whistleblower whose significant information prompted the agency to initiate a cause examination and bring an enforcement action that resulted in the return of… Read the Full Press Release Have a securities law question? Call Sallah […]
The Securities and Exchange Commission today charged two Maryland companies and their principals for a scheme that allegedly defrauded approximately 1,200 investors, many of them African immigrants, of more than $27 million. According to the SEC’s… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission today announced that Herbalife Nutrition Ltd. has agreed to pay more than $67 million to settle charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt… Read the Full Press Release Have a securities law question? Call Sallah […]
The definition of an accredited investor has always been based on income and net worth. Over the decades that definition has become outdated and excludes individual who have the financial ability and acumen to make informed investment decisions. All of that is about to change. On August 26 the SEC […]
The Securities and Exchange Commission today announced settled charges against BorgWarner Inc., a motor vehicle parts manufacturer headquartered in Auburn Hills, Michigan, for materially misstating its financial statements by failing to account for… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
We did it again! Feedspot just published its list of the top 15 Securities Law Blogs, and we are #1. It’s not easy keeping pace with the ever changing laws of the financial markets, but we have been managing to do so for over 25 years. https://blog.feedspot.com/securities_law_blogs/ Visit us at […]
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer agents, and other regulated entities and investment professionals will continue to closely track developments. They will […]
The Securities and Exchange Commission today announced that it voted to adopt amendments to modernize the description of business (Item 101), legal proceedings (Item 103), and risk factor disclosures (Item 105) that registrants are required to make… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
