The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering… SEC Press Release
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SEC Charges Consensys Software for Unregistered Offers and Sales of Securities through its MetaMask Staking Service
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking… SEC Press Release
SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. As detailed in the Report, the Investor Advocate’s priorities for fiscal year 2025… SEC Press Release
SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. According to the SEC’s… SEC Press Release
SEC Charges Founder of AI Hiring Startup Joonko with Fraud
The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recruitment startup Joonko, with defrauding investors of at least $21 million by making false and misleading statements about the… SEC Press Release
SEC Appoints Erica Y. Williams to a Second Term as PCAOB Chairperson
The Securities and Exchange Commission today announced the appointment of Erica Y. Williams to a second term as Chairperson of the Public Company Accounting Oversight Board (PCAOB) beginning on Oct. 25, 2024, and running through Oct. 24, 2029. “I thank… SEC Press Release
SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and Practices
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. Engaging in a self-assessment provides an opportunity for organizations to closely review their diversity and… SEC Press Release
SEC Issues Exemptive Order Providing Additional Time for Certain Registrants to File Quarterly Reports in Light of BF Borgers Permanent Suspension
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “BF Borgers”), from appearing and practicing before the… SEC Press Release
SEC Enhances Protection of Customer Information with Regulation S-P Amendments
May 16, 2024 — The SEC has announced significant amendments to Regulation S-P, aimed at modernizing and fortifying the protection of consumers’ nonpublic personal information within certain financial institutions. These amendments mark an important step in adapting regulatory frameworks to the evolving landscape of technology and the attendant risks, which […]
Tina Diamantopoulos Named Regional Director of Chicago Office
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. Ms. Diamantopoulos is a 30-year veteran of the SEC and has held… SEC Press Release
