The Law of the Financial Markets from Top Securities Lawyers
Sunday, June 15, 2025
The Securities and Exchange Commission today announced whistleblower awards in connection with three separate enforcement actions totaling over $3.6 million. In the first order, where the whistleblower was represented by Sallah Astarita & Cox, LLC, the SEC awarded a whistleblower over $1.8 million for providing significant information about a fraudulent […]
The SEC’s Office of the Advocate for Small Business Capital Formation issued its Annual Report for Fiscal Year 2020 today. The report provides comprehensive data on the state of small business capital formation, a summary of the… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions and offices that will be responsible for coordinating functions related to the regulation… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors. Represented by James Sallah of […]
The Securities and Exchange Commission voted today to approve the 2021 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. The 2021 PCAOB budget totals $287.3 million, an increase of… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission today announced that it has adopted a rule to limit the potential for overlapping or duplicative regulation within its security-based swap regulatory regime. Specifically, the rule exempts certain activities of… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
The Securities and Exchange Commission today charged China-based company Luckin Coffee Inc. with defrauding investors by materially misstating the company’s revenue, expenses, and net operating loss in an effort to falsely appear to achieve rapid growth… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission today voted to adopt final rules that will require resource extraction issuers that are required to file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 to disclose payments made to the U.S… Read the Full Press Release Have a securities […]
The SEC announced an award of more than $300,000 to a whistleblower whose high-quality information and continuing assistance significantly contributed to a successful enforcement action. According to the press release, the whistleblower became aware of the potential securities law violations in connection with audit-related responsibilities. Although individuals with audit or […]
