The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy former… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
Month: September 2023
SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website. The committee… Read the Full Press Release Have a securities law question? Call […]
SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against CBRE, Inc. (CBRE), a Dallas-based commercial real estate services and investment firm and subsidiary of publicly traded CBRE Group, Inc., for using an employee release that… Read the Full Press Release Have a securities law question? Call New York Securities […]
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
The Securities and Exchange Commission today announced that it has posted to sec.gov the agency’s Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan for fiscal years 2023-2026 that builds on and advances the SEC’s DEIA commitment and… Read the Full Press Release Have a securities law question? Call New York […]
SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale of approximately $424 million worth of private shares of Lyft’s stock prior to the company’s initial public… Read the Full Press Release Have a securities law question? Call […]
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 29 soliciting entities, three impersonators of genuine firms, and one… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored accounts,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Proposes Improvements to EDGAR Filer Access and Account Management
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the SEC’s EDGAR system. The proposed amendments would require EDGAR filers to authorize identified individuals who… Read the Full Press Release Have a securities law question? Call New York […]
SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, September 19. The meeting will include a discussion of ways to invest in early-stage companies, as well as… Read the Full Press Release Have a securities law question? Call New […]
SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs) that raised approximately $8 million from investors to… Read the Full Press Release Have a securities law question? Call New York […]
