The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
By Mark J. Astarita, Esq. SEC Charges in Crypto Fraud Cases: NanoBit and CoinW6 Scams Unveiled Despite my decades of representing investors, financial professionals, and their firms, there is a case that surprises me every so often. This case starts like many others. The SEC filed a case against five […]
The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in… SEC Press Release
The Securities and Exchange Commission today filed charges against Paul D. Roberts, the former Chair, CEO, and president of Kubient Inc.; Joshua A. Weiss, the company’s former chief financial officer; and Grainne M. Coen, the company’s former audit… SEC Press Release
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential… SEC Press Release
On September 12, 2024, the Securities and Exchange Commission (SEC) announced that eToro USA LLC has agreed to a settlement of $1.5 million over charges related to operating as an unregistered broker and clearing agency. The settlement stems from eToro’s involvement in facilitating the trading of certain crypto assets classified […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, 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 will host two… SEC Press Release
The Securities and Exchange Commission today announced settled charges against Zymergen Inc., an Emeryville, California-based biotechnology company, for misleading IPO investors about its overall market potential, revenue prospects, and customer pipeline… SEC Press Release
The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. (IEA) by MasTec Inc., a client of the… SEC Press Release
Unregistered Broker Activity Leads to SEC Charges In a recent development, the U.S. Securities and Exchange Commission (SEC) announced the settlement of charges against three sales agents from StraightPath Venture Partners for unregistered broker activity. These agents, Anthony Guarino, Robert Seropian, and Frank Vecchio, were involved in selling membership interests […]
The Securities and Exchange Commission today charged now-defunct digital pharmacy startup Medly Health Inc’s. co-founder and former CEO, Marg Patel, former CFO, Robert Horowitz, and former Head of Rx Operations, Chintankumar Bhatt, with defrauding… SEC Press Release
