The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Read the Full Press Release Have a securities law question? Call New York Securities […]
Other News
SEC Charges Call Center Operators in $58 Million Penny Stock Scheme
The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors… Read the Full Press Release Have a securities law question? Call New York Securities […]
Bitcoin: Definition, origin and risks
Bitcoin is a virtual ‘cryptocurrency’ traded much like real money. Bitcoin is a virtual currency known as a ‘cryptocurrency that can be traded between buyers and sellers much like “real” money is. One of the very first and most high-profile cryptocurrencies launched, Bitcoin is also the most well-known of this […]
Biden Signs Executive Order on Cryptocurrency
On March 9, President Biden signed an Executive Order (the Order) to establish the first comprehensive federal digital asset strategy for the U.S., which would promote digital asset innovation while balancing benefits and associated risks. The order directs the Justice Department, U.S. Department of the Treasury, the Board of Governors […]
SEC Awards Approximately $14 Million to Whistleblower
The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. The whistleblower, who days later shared the same information with the SEC and was… Read the Full Press Release Have a securities law question? Call […]
SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. “Over the years, our… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit […]
SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos
The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Awards More Than $3.5 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $3.5 million to a whistleblower who provided critical information that significantly contributed to the success of two SEC enforcement actions. … Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
SEC Charges Previously-Barred Investment Adviser with Fraud
The Securities and Exchange Commission today charged a previously-barred North Carolina-based investment adviser with lying to retail investors about the use and value of their investments. The SEC’s complaint alleges that, starting in approximately… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. ET. The meeting is open to the public via live webcast, and will be archived on the committee’s website for later… Read the Full Press Release Have a securities law question? Call […]



