The Securities and Exchange Commission today announced charges against the former Chief Financial Officer, Edward O’Donnell, and the former Chief Commercial Officer, Victor Bozzo, of New York-based telecommunications company Pareteum Corp. for engaging… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Author: SECLaw Staff
SEC Appoints George Botic to the Public Company Accounting Oversight Board
The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the Public Company Accounting Oversight Board (PCAOB). “I am pleased that George will serve on the PCAOB Board,” said SEC Chair… Read the Full Press Release Have a securities […]
SEC Charges Three Southern California Siblings with Insider Trading
The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia P. Durbin for insider trading before the April 2021 announcement of an offer by storage company United Rentals… Read the Full Press Release Have a securities law question? […]
SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. Five publicly… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
American Infrastructure Funds Settles SEC Charges
American Infrastructure Funds LLC (AIM), a registered investment adviser based in Foster City, California, has agreed to a settlement with the SEC, in which AIM will pay over $1.6 million to resolve charges brought against the firm. These charges stem from several alleged breaches of its duties as an investment […]
ETF Manager Settles SEC Charges of Fraudulent Conduct
The SEC has taken action against an ETF Manager, alleging misconduct in the management of an exchange-traded fund (ETF). This scheme involved misleading the ETF’s trustees and securing a whopping $20 million in rescue financing to avert potential bankruptcy. As a result, Masucci and his entities have agreed to a substantial settlement of $4.4 million.
Florida Investment Adviser Settles Insider Trading Allegations with SEC
SEC Files Insider Trading Charges Against Charles Rustin Holzer The SEC has once again taken legal action against Charles Rustin Holzer, a family office executive and former broker. This comes after Holzer settled SEC charges last year related to his trading in options of Dun & Bradstreet Corp. (DNB) based […]
SEC Halts Utah-Based Crypto Asset Fraud Scheme Involving 18 Defendants
The SEC has secured temporary asset freezing, restraining orders, and other emergency measures against Digital Licensing Inc., operating under the name “DEBT Box,” a Draper, Utah-based entity. The action also involves the company’s four principals: Jason Anderson, Jacob Anderson, Schad Brannon, and Roydon Nelson, along with 13 other defendants. This […]
