The Law of the Financial Markets from Top Securities Lawyers
Sunday, November 16, 2025
On July 13, 2023, the Securities and Exchange Commission (SEC) charged Celsius Network Limited (Celsius) and its founder and former CEO, Alex Mashinsky, with violating registration and anti-fraud provisions of the federal securities laws. The SEC alleged that Celsius failed to register the offers and sales of its crypto lending […]
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. (BACNAH) for failing to file hundreds of Suspicious Activity Reports (SARs) from 2009 to late 2019. Merrill Lynch agreed to pay a $6 million penalty […]
July 12, 2023 – The SEC today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. The amendments are designed to enhance the resilience and transparency of money market funds, particularly during periods of market stress. Significant Changes One of the key […]
July 12, 2023 —The SEC has proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and other broker-dealers (known as PAB account holders) from weekly to daily. Net cash […]
The Securities and Exchange Commission today announced an award of more than $9 million to a whistleblower whose significant and detailed information and assistance led to a successful SEC enforcement action. After repeatedly internally reporting the… Read the Full Press Release Have a securities law question? Call New York Securities […]
The Securities and Exchange Commission today announced settled charges against RSE Markets Inc. for operating as an unregistered exchange by maintaining and providing a marketplace and facilities that brought together purchasers and sellers of securities… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
The Securities and Exchange Commission today charged former U.S. Army financial counselor Caz L. Craffy for defrauding Gold Star family members and others by engaging in unauthorized trading—including of life insurance and family survivor benefits they… Read the Full Press Release Have a securities law question? Call New York Securities […]
The Securities and Exchange Commission today announced settled charges against a California-based manufacturer of “smart” windows, View Inc., for failing to disclose $28 million in projected warranty-related liabilities to address a particular defect in… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
Introduction The Securities and Exchange Commission (SEC) has taken action against Robert D. Christensen and Anthony M. Matic, along with their affiliated companies, for orchestrating a Ponzi-like scheme and defrauding investors who invested over $10 million in promissory notes. This article provides an overview of the case and highlights the […]
The Securities and Exchange Commission today filed insider trading charges against Bruce Garelick, a former board member of Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC); Michael Shvartsman and his firm Rocket… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
