The Law of the Financial Markets from Top Securities Lawyers
Saturday, November 29, 2025
The SEC has secured temporary asset freezing, restraining orders, and other emergency measures against Digital Licensing Inc., operating under the name “DEBT Box,” a Draper, Utah-based entity. The action also involves the company’s four principals: Jason Anderson, Jacob Anderson, Schad Brannon, and Roydon Nelson, along with 13 other defendants. This […]
Introduction In a groundbreaking development, the SEC has made history by awarding over $104 million to seven whistleblowers. This announcement, which took place on August 4, 2023, marks the fourth largest award ever granted under the SEC’s whistleblower program. These individuals played a pivotal role in facilitating a successful SEC […]
The SEC has taken action against Theorem Fund Services LLC (TFS), a Boca Raton-based fund administrator. The charges revolve around TFS’s failure to respond to red flags related to a fraudulent scheme targeting a private fund and its investors. The Background TFS found itself entangled in a web of deception […]
The Securities and Exchange Commission today announced that crypto asset trading platform Bittrex Inc. and its co-founder and former CEO, William Shihara, agreed to settle charges that they operated an unregistered national securities exchange, broker,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
The Securities and Exchange Commission today charged Crowe U.K. LLP, a London based audit firm, its CEO, Nigel Bostock, and senior auditor, Matthew Stallabrass, for the firm’s deficient audit of music streaming company Akazoo Limited. Crowe U.K., Bostock… Read the Full Press Release Have a securities law question? Call New […]
The Securities and Exchange Commission today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. The SEC also… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
The Securities and Exchange Commission today adopted rule amendments that narrow the exemption from Section 15(b)(8) of the Securities Exchange Act of 1934, which requires any broker or dealer registered with the Commission to become a member of a… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission today adopted new rules and rule amendments to enhance the regulation of private fund advisers and update the existing compliance rule that applies to all investment advisers. The new rules and amendments are… Read the Full Press Release Have a securities law question? Call New […]
The Securities and Exchange Commission today reopened the comment period on its proposed rule that would redesignate and amend the current custody rule under the Investment Advisers Act of 1940 to enhance protections of customer assets managed by… Read the Full Press Release Have a securities law question? Call New […]
The Securities and Exchange Commission today charged former New Jersey State Correctional Police Officer John A. DeSalvo with fraudulently raising funds through the unregistered offering of the Blazar Token, a crypto asset security he created but that… Read the Full Press Release Have a securities law question? Call New York […]
