The Law of the Financial Markets from Top Securities Lawyers
Monday, February 16, 2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated has settled with the Securities and Exchange Commission (SEC) for charging more than $4 million in undisclosed foreign exchange fees to its advisory clients for transfers to or from their accounts. The company has agreed to pay disgorgement, prejudgment interest, and a civil […]
The Securities and Exchange Commission today opened public registration for its Municipal Securities Disclosure Conference, which will be held on May 10, 2023, at the SEC’s headquarters. The conference, held in a hybrid format with both in-person and… Read the Full Press Release Have a securities law question? Call New […]
The SEC has announced that it has awarded more than $12 million to two whistleblowers who provided crucial information and assistance during a successful SEC enforcement action. This marks another milestone in the SEC’s commitment to protecting investors and the capital markets through its whistleblower program. The first whistleblower who […]
The Securities and Exchange Commission today charged three executives of Mobile, Alabama-based shipbuilder, Austal USA LLC, for orchestrating a fraudulent revenue recognition scheme that allowed its parent company to meet or exceed analyst expectations… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
The Securities and Exchange Commission today announced that Mark D. Reinhold has been named the agency’s Chief Human Capital Officer and Director of the Office of Human Resources. He has served as the acting head of the office since October 2022. Mr.… Read the Full Press Release Have a securities […]
The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in… Read the Full Press Release Have a securities law question? Call New York […]
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange, broker, and clearing agency. The SEC also charged the… Read the Full Press Release Have a securities law question? Call New York […]
The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. Tafaro, for their improper professional conduct in connection with audits of two… Read the Full Press Release Have a securities law question? Call New York […]
Vale S.A., one of the world’s largest iron ore producers and a publicly traded Brazilian mining company, has agreed to pay $55.9 million to settle charges brought by the Securities and Exchange Commission (SEC) regarding allegedly false and misleading disclosures about the safety of its dams. The charges stem from […]
The Securities and Exchange Commission has charged former broker Surage Kamal Roshan Perera and his company, Janues Capital Incorporated, with engaging in fraudulent activities. The charges relate to allegations that they defrauded at least one investor out of millions of dollars. The SEC alleges that Perera and his firm deceived […]
