The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
On September 12, 2024, the Securities and Exchange Commission (SEC) announced that eToro USA LLC has agreed to a settlement of $1.5 million over charges related to operating as an unregistered broker and clearing agency. The settlement stems from eToro’s involvement in facilitating the trading of certain crypto assets classified […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website. The committee will host two… SEC Press Release
The Securities and Exchange Commission today announced settled charges against Zymergen Inc., an Emeryville, California-based biotechnology company, for misleading IPO investors about its overall market potential, revenue prospects, and customer pipeline… SEC Press Release
The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. (IEA) by MasTec Inc., a client of the… SEC Press Release
Unregistered Broker Activity Leads to SEC Charges In a recent development, the U.S. Securities and Exchange Commission (SEC) announced the settlement of charges against three sales agents from StraightPath Venture Partners for unregistered broker activity. These agents, Anthony Guarino, Robert Seropian, and Frank Vecchio, were involved in selling membership interests […]
The Securities and Exchange Commission today charged now-defunct digital pharmacy startup Medly Health Inc’s. co-founder and former CEO, Marg Patel, former CFO, Robert Horowitz, and former Head of Rx Operations, Chintankumar Bhatt, with defrauding… SEC Press Release
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. QC 1000, A Firm’s System of Quality Control… SEC Press Release
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. To settle the SEC’s charges, Keurig agreed to pay a $1.5 million civil penalty… SEC Press Release
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 17 current committee members. The committee, established under the Dodd-… SEC Press Release
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes… SEC Press Release
