The Law of the Financial Markets from Top Securities Lawyers
Monday, October 20, 2025
he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]
The Securities and Exchange Commission announced today that Satyam Khanna will serve as Senior Policy Advisor for Climate and ESG in the office of Acting Chair Allison Herren Lee. In this new role, Mr. Khanna will advise the agency on environmental,… Read the Full Press Release Have a securities law […]
By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]
In the aftermath of the run-up in the price of Gamestop (GME) Robinhood removed GME from its trading platform. Yes, Robinhood simply removed a publicly traded security from its platform, preventing its users from buying, and presumably selling, the security. While Robinhood claims that it has the right to do […]
William Galvin, the Secretary of the Commonwealth of Massachusetts, and its chief securities regulator told Barron’s that the trading in Gamestop should be halted for 30 days. Of course, Secretary Galvin has no authority to halt the trading in any publicly listed stock. He also doesn't explain how preventing investors […]
The Securities and Exchange Commission today charged Vuuzle Media Corporation, a purported online live streaming and entertainment company, and its founder Ronald Shane Flynn (a.k.a. Ronnie Shane) with fraudulently offering over $14 million in securities… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
The Securities and Exchange Commission today announced that Manisha Kimmel will conclude her tenure as Senior Policy Advisor, Regulatory Reporting, at the end of this month. Since joining the SEC in January 2019, Ms. Kimmel has coordinated the SEC’s… Read the Full Press Release Have a securities law question? Call […]
Another year, another COVID relief package—$1.9 trillion worth this time. As the old saying goes, “A trillion here, a trillion there, and soon you’re starting to talk about real money!” But what does this latest cash injection into the economy mean for our closed-end fund (CEF) returns in 2021? Let’s take a […]
The Securities and Exchange Commission today announced that Paul Munter will serve as the Acting Chief Accountant upon the departure of Sagar Teotia in February. Since 2019, Mr. Munter has served as Deputy Chief Accountant leading the international work… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. “It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee… Read the Full Press Release Have a securities law question? […]
