The SEC charged multiple defendants for crypto fraud on social media using fake trading platforms, WhatsApp groups, and false investment claims.
Author: SECLaw Staff
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
Joshua T. White Named SEC Chief Economist
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of… SEC Press Release For more information, contact the securities […]
SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin… SEC Press Release For more information, contact the securities lawyers at […]
SEC Charges Canadian Citizen With Fraud Targeting Retail Investors on Discord
SEC Enforcement Action Targets Discord-Based Investment Fraud The SEC charged Canadian citizen Nathan Gauvin and three related entities with orchestrating fraudulent investment schemes that targeted retail investors across the United States and abroad. According to the SEC’s complaint, Gauvin used Discord servers and other online communications to promote false investment […]
SEC Announces Departure of OIEA Director Lori J. Schock
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for… SEC Press Release For more information, contact the […]
SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17 from 1 p.m. to 2 p.m. ET. The third event […]
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
FINRA Arbitration Reorganizes
FINRA Regional Office Reorganization – Effective December 8, 2025 FINRA just announced that there is going to be an organizational change at DRS. Effective December 8, 2025, DRS is consolidating from four regions to three: East (New York), Central (Chicago), and West (Los Angeles). The statement claims that the streamlined […]
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate… SEC Press Release For more information, contact the securities lawyers at […]
