The Securities and Exchange Commission today announced fraud charges against Sean Wygovsky, a trader at a major Canada-based asset management firm, in connection with a long-running and lucrative front-running scheme that Wygovsky perpetrated in the… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Author: SECLaw Staff
SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
The Securities and Exchange Commission today released the agenda for the July 7 meeting of the Asset Management Advisory Committee (AMAC). The meeting will include a discussion of matters in the asset management industry relating to: (1) the ESG,… Read the Full Press Release Have a securities law question? Call […]
Matthew Skinner and Five of His Companies Charged With Multiple Offering Frauds and Misappropriation of Investor Funds
The Securities and Exchange Commission today announced charges against Matthew J. Skinner of Santa Clarita, California, and five entities he owns and controls – Empire West Equity Inc., Bayside Equity LP, Longacre Estates LP, Freedom Equity Fund LLC, and Simple Growth LLC – for conducting four unregistered and fraudulent real […]
New Jersey Attorney General Gurbir S. Grewal Appointed SEC Director of Enforcement
The Securities and Exchange Commission today announced that Gurbir S. Grewal has been appointed Director of the Division of Enforcement, effective July 26, 2021. Grewal currently serves as Attorney General for the State of New Jersey, a role he has held… Read the Full Press Release Have a securities law […]
SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
The Securities and Exchange Commission today announced settled insider trading charges against Bay Area finance employee Mounir N. Gad and his friend Nathan E. Guido. According to the SEC’s orders against Gad and Guido, Gad worked for a Northern… Read the Full Press Release Have a securities law question? Call […]
SEC Engages with Students for Their Perspectives on Emerging Issues
Yesterday, Chair Gary Gensler and Investor Advocate Rick Fleming hosted a roundtable discussion with the students and faculty of the University of Texas at Arlington’s Department of Finance and Real Estate. Students presented on diversity and disclosure… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds
The Securities and Exchange Commission today announced charges against Matthew J. Skinner of Santa Clarita, California, and five entities he owns and controls – Empire West Equity Inc., Bayside Equity LP, Longacre Estates LP, Freedom Equity Fund LLC, and… Read the Full Press Release Have a securities law question? Call […]
SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
The Securities and Exchange Commission today announced that Gurbir S. Grewal has been appointed Director of the Division of Enforcement, effective July 26, 2021. Grewal currently serves as Attorney General for the State of New Jersey, a role he has held… Read the Full Press Release Have a securities law […]
Joint Readout of Principals Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and the Bank of England convened a virtual meeting today to discuss certain issues… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. The […]
FINRA Reverses Hearing Panel Decision and Dismisses Complaint against Sallah Astarita & Cox client.
In an unusual reversal and dismissal, Mark Astarita of Sallah Astarita & Cox, LLC obtained a full reversal of a Hearing Panel decision in an enforcement proceeding that barred his client for life and ordered him to pay $250,000 in restitution, plus 6 years of interest. The case, which was […]
