The Law of the Financial Markets from Top Securities Lawyers
Monday, May 6, 2024
March 18, 2022 – the SEC announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. $1.5 Million For New Information In the first order, the SEC issued an award of approximately $1.5 million to a whistleblower who provided new information […]
March 16, 2022 — The SEC announced charges, and a settlement of those charges with Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka. They were charged with misleading investors in the sale of $20 million of municipal bonds in order to pay its outstanding […]
The Securities and Exchange Commission today announced that Dave A. Sanchez will return to the SEC to serve as Director of the Office of Municipal Securities (OMS) effective April 11. Mr. Sanchez most recently advised municipal issuers, broker-dealers… Read the Full Press Release Have a securities law question? Call New […]
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Read the Full Press Release Have a securities law question? Call New York Securities […]
The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors… Read the Full Press Release Have a securities law question? Call New York Securities […]
Bitcoin is a virtual ‘cryptocurrency’ traded much like real money. Bitcoin is a virtual currency known as a ‘cryptocurrency that can be traded between buyers and sellers much like “real” money is. One of the very first and most high-profile cryptocurrencies launched, Bitcoin is also the most well-known of this […]
On March 9, President Biden signed an Executive Order (the Order) to establish the first comprehensive federal digital asset strategy for the U.S., which would promote digital asset innovation while balancing benefits and associated risks. The order directs the Justice Department, U.S. Department of the Treasury, the Board of Governors […]
The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. The whistleblower, who days later shared the same information with the SEC and was… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. “Over the years, our… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit […]
The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
