The Law of the Financial Markets from Top Securities Lawyers
Saturday, February 14, 2026
False Revenue Projections at Heart of $284 Million Bond Fraud The U.S. Securities and Exchange Commission (SEC) has filed charges against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga, accusing them of orchestrating a deceptive municipal bond scheme involving fabricated financial documents. The scheme allegedly misled investors in two […]
According to Binance, Ripple Labs has reached a settlement with the U.S. Securities and Exchange Commission (SEC), concluding a lengthy legal battle that has been closely monitored by the cryptocurrency industry. As part of the settlement, Ripple will pay a $50 million penalty and withdraw its cross-appeal. Ripple’s Chief Legal […]
Crypto.com says the SEC has shut its investigation into the exchange, marking the last crypto firm to have the agency’s probes dropped. https://www.theblock.co/post/348558/crypto-com-says-secs-investigation-has-been-shut-with-no-plan-to-pursue-charges
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and… SEC Press Release
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. The dates and topics for each roundtable are as follows: April 11, 2025… SEC Press Release
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,… SEC Press Release
The Securities and Exchange Commission (SEC) has filed charges against David Yow Shang Chiueh, an investment adviser based in East Hanover, New Jersey, along with his firm, Upright Financial Corp. The charges stem from multiple violations, including excessive investment concentration and fraudulent activities that led to significant financial losses for […]
FINRA Regulatory Notice 25-05, issued on March 14, 2025, proposes consolidating Rules 3270 and 3280 into a single rule—tentatively titled Rule 3290—to streamline and reduce unnecessary burdens regarding associated persons’ outside activities. The comment period for this proposal ends on May 13, 2025. Key Points of the Proposal Feedback For […]
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In… SEC Press Release
We break down the recent announcement from the Securities and Exchange Commission (SEC) regarding its Crypto Task Force. Key Takeaways: The SEC’s Crypto Task Force will host a series of roundtables, dubbed the “Spring Sprint Toward Crypto Clarity,” to discuss key areas of interest in crypto asset regulation. The inaugural […]
