The Securities and Exchange Commission today announced charges against the former Chief Financial Officer, Edward O’Donnell, and the former Chief Commercial Officer, Victor Bozzo, of New York-based telecommunications company Pareteum Corp. for engaging… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Other News
SEC Appoints George Botic to the Public Company Accounting Oversight Board
The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the Public Company Accounting Oversight Board (PCAOB). “I am pleased that George will serve on the PCAOB Board,” said SEC Chair… Read the Full Press Release Have a securities […]
SEC Charges Three Southern California Siblings with Insider Trading
The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia P. Durbin for insider trading before the April 2021 announcement of an offer by storage company United Rentals… Read the Full Press Release Have a securities law question? […]
SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. Five publicly… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. Bruderman, agreed to settle charges related to their failure to disclose the misuse of proceeds raised from… Read the Full Press Release Have a securities law question? Call New York […]
SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million from more than 50 investors in a Ponzi scheme involving notes that were purportedly backed… Read the Full Press Release Have a securities law question? Call New […]
Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche Bank AG, in two separate enforcement actions, one addressing its failure to develop a… Read the Full Press Release Have a securities law question? Call New York Securities […]
