The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
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 […]
The Securities and Exchange Commission today announced insider trading charges against Jordan Meadow, a registered representative for a New York-based broker-dealer, and Steven Teixeira, the Chief Compliance Officer of an international payment processing… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
The Securities and Exchange Commission today filed insider trading charges against five individuals, including a police chief in Dighton, Massachusetts, arising from trading before the announcement of a tender offer by Alexion Pharmaceuticals Inc. to… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
The Securities and Exchange Commission today announced insider trading charges against Amit Dagar, a former Pfizer Inc. employee, and his close friend and business partner, Atul Bhiwapurkar, for trading in advance of the company’s November 5, 2021,… Read the Full Press Release Have a securities law question? Call New York […]
