The Law of the Financial Markets from Top Securities Lawyers
Sunday, September 21, 2025
The SEC has taken legal action against Paul A. Pereira, the former CEO and co-founder of Alfi, Inc., for allegedly disseminating false and misleading information via social media platforms to artificially inflate the company’s stock price. Alleged Misrepresentation of Financial Performance Under the pseudonym “Uptix12,” Pereira purportedly made statements shortly […]
Spouse purchased stock using non-public information about planned merger Feb. 22, 2024 — The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a […]
If you are involved in the financial industry, understanding the role and functions of the Securities and Exchange Commission (SEC) is paramount. Established to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, the SEC plays a pivotal role in the financial landscape. Let’s delve deeper into […]
SEO Title: SEC Charges Northern Star SPAC for Misleading IPO Disclosures Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken action against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), for alleged material misrepresentations in its initial public offering (IPO) disclosures dating back […]
Washington D.C., Jan. 16, 2024 – The Securities and Exchange Commission (SEC) has taken action against J.P. Morgan Securities LLC for their alleged hindrance of clients from reporting potential securities law violations. SEC Charges J.P. Morgan The SEC has officially charged J.P. Morgan with impeding numerous advisory clients and brokerage […]
Mark Cuban criticizes the U.S. Securities and Exchange Commission (SEC) for not effectively protecting investors. He likens the SEC to “the QuickBooks of Financial Regulation,” suggesting they are more proficient in bookkeeping than in proactive investor protection. Cuban highlights his involvement with Sharesleuth.com, a platform he owns that uncovers fraudulent […]
SEC’s Allegations Against Brooge Energy and Executives The SEC recently filed instituted proceedings against Brooge Energy Limited, and its former CEO, Nicolaas Lammert Paardenkooper, and Lina Saheb, who served as Chief Strategy Officer and Interim CEO. Brooge Energy consented to a settlement with the SEC, acknowledging violations of numerous federal […]
Introduction to the Stimwave Controversy On December 19, 2023, the SEC filed a complaint alleging a scheme by Laura Tyler Perryman, the ex-CEO and co-founder of Stimwave Technologies Inc. Perryman is accused of duping investors with false claims about a critical medical device, parts of which were fraudulently deemed functional. […]
SEC’s Emergency Action The U.S. Securities and Exchange Commission (SEC) has taken decisive action against a large-scale Ponzi scheme. They have obtained a temporary restraining order, asset freeze, and the appointment of a receiver to halt the operations of Agridime LLC and its owners, Josh Link and Jed Wood. Details […]
Overview of the SEC Enforcement Action The Securities and Exchange Commission (SEC) announced an enforcement action against Credit Suisse Securities (USA) LLC and its affiliates, collectively referred to as the Credit Suisse Entities. This action, resulting in a settlement exceeding $10 million, stems from the entities’ engagement in prohibited underwriting […]
