The Law of the Financial Markets from Top Securities Lawyers
Thursday, April 25, 2024
By Mark J. Astarita For months we have been advising financial firms to pay attention to the use of messaging services by their employees and to avoid penalties for recordkeeping failures. Firms are required to maintain archival records of all business-related communications. The SEC‘s crackdown started in the middle of […]
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading… SEC Press Release
The Securities and Exchange Commission today announced charges against TradeStation Crypto, Inc., based in Plantation, Florida, for failing to register the offer and sale of a crypto lending product that allowed U.S. investors to deposit or purchase… SEC Press Release
The Securities and Exchange Commission today announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American depositary shares formerly traded on the… SEC Press Release
The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity-providing roles in the markets, to register with the SEC, become… SEC Press Release
The Securities and Exchange Commission (SEC) has stepped forward to address a notable issue. This situation serves as a stark warning for students and investors about the risks of navigating the complex and often murky waters of digital currency investments. The Rise and Fall of a Crypto Education Venture Unveiling […]
Introduction The Securities and Exchange Commission (SEC) has taken legal action against Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their roles in the fraudulent crypto asset pyramid scheme, known as HyperFund, which managed to accumulate over $1.7 billion from investors worldwide. The SEC’s charges shed […]
SEO Title: SEC Charges Northern Star SPAC for Misleading IPO Disclosures Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken action against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), for alleged material misrepresentations in its initial public offering (IPO) disclosures dating back […]
The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and the firm’s former partner, Claire P. Shaughnessy, for misleading their client, the Pennsylvania… SEC Press Release
Washington D.C., Jan. 16, 2024 – The Securities and Exchange Commission (SEC) has taken action against J.P. Morgan Securities LLC for their alleged hindrance of clients from reporting potential securities law violations. SEC Charges J.P. Morgan The SEC has officially charged J.P. Morgan with impeding numerous advisory clients and brokerage […]
