The Law of the Financial Markets from Top Securities Lawyers
Tuesday, October 28, 2025
Rio Tinto, a global mining and metals company, has agreed to pay a $15 million civil penalty to the Securities and Exchange Commission (SEC) for violating the Foreign Corrupt Practices Act (FCPA). The violation is related to a bribery scheme involving a consultant in Guinea. The Hiring of a Consultant […]
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC… Read the Full Press Release Have a securities law question? Call New York Securities […]
On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]
The SEC announced on March 2, 2023, that The Greenbrier Companies Inc. and its founder and former CEO and Chairman, William A. Furman, settled charges for failing to disclose perks provided to Furman and other Greenbrier executives, as well as compensation Furman received from Greenbrier’s charters of his private plane […]
The SEC has charged Terren S. Peizer, the Executive Chairman of Ontrak Inc., a healthcare treatment company based in Santa Monica, California, with insider trading. Peizer is accused of selling over $20 million of Ontrak stock between May and August 2021, while in possession of material nonpublic negative information related […]
The Securities and Exchange Commission (SEC) has charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his involvement in a multiyear scheme to defraud equity investors in FTX, a crypto trading platform that Singh co-founded with Samuel Bankman-Fried and Gary Wang. The scheme allegedly involved diverting […]
Feb. 24, 2023 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of Private Markets relative to the Public […]
The Securities and Exchange Commission has charged media and entertainment company Ozy Media Inc. and its executives with defrauding investors of approximately $50 million through misrepresentations regarding the company’s financial condition, business relationships, and fundraising efforts. The CEO of Ozy Media, Carlos R. Watson, Jr., the former COO Samir Rao, […]
The Securities and Exchange Commission (SEC) and the U.S. Attorney’s Office for the Southern District of New York have jointly charged Andrew Stiles and Gray Stiles with insider trading. Andrew Stiles is accused of trading Kodak and Novavax stocks based on nonpublic information related to the companies’ government partnerships aimed […]
The Securities and Exchange Commission (SEC) has settled charges against African Gold Acquisition Corp., a special purpose acquisition company (SPAC), for violating Exchange Act provisions related to internal controls, reporting, and recordkeeping. The SEC’s order alleges that the SPAC’s former chief financial officer misappropriated approximately $1.2 million from the company’s […]
