The Securities and Exchange Commission today announced settled charges against an Oklahoma-based gas exploration and production company, Gulfport Energy Corporation, and its former CEO, Michael G. Moore, for failing to properly disclose as compensation… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]

Behind the Process: How an Enforcement Action Becomes an Enforcement Action From a regulator’s prospective, FINRA’s head of Enforcement walks you through the process and the possible outcomes. F

The Securities and Exchange Commission today suspended two former KPMG auditors from practicing before the SEC in connection with settled charges against the two for improper professional conduct during an audit of the now defunct, not-for-profit College… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]

Hedge Funds Clash Over Tech Stocks: SEC Filings Many well-known funds have filed their 13Fs within the last week or so, and it seems clear that tech stocks aren’t the be-all, end-all they were last year. Many hedge funds sold or reduced their tech names positions, while others bought and […]

Has Bitcoin Just Gone Mainstream? The SEC reports that Tesla has invested $1.5 billion in bitcoin. The decision by figures like Elon Musk or important companies such as Tesla is simply one more step toward the normalization of cryptocurrencies. #securitiesattorney #seclaw #securitieslaw https://www.forbes.com/sites/enriquedans/2021/02/08/has-bitcoin-just-gone-mainstream/

Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology http://feeds.finra.org/~r/FINRACompliancePodcast/~3/T5LFP9NeAAA/encore-augmenting-the-exam-and-risk-monitoring-program-with-data-analytics-and-technology-aZPruHLf #seclaw#securitieslawyer

Watch Live: GameStop Hearing On Market Manipulation The billionaire founders of Robinhood and market-maker Citadel Securities are among those testifying. #securitiesattorney #securitieslawyer #seclaw https://www.forbes.com/sites/jonathanponciano/2021/02/18/watch-live-gamestop-hearing-on-market-manipulation/

Walgreens Revealed As Investor In Subsidiary Of Health Insurance Company Under Federal Investigation The pharmacy giant has been steering its customers towards SeekMedicare, which is under scrutiny from both the Department of Justice and the Securities and Exchange Commission. #seclaw #securitieslawyer #securitiesattorney https://www.forbes.com/sites/katiejennings/2021/02/12/walgreens-revealed-as-investor-in-insurance-company-under-federal-investigation/