The Law of the Financial Markets from Top Securities Lawyers
Wednesday, May 21, 2025
How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National Financial Literacy Month Each April, the U.S. Securities and Exchange Commission (SEC), through its Office of Investor Education and Advocacy (OIEA), uses National Financial Literacy Month to spotlight the critical […]
Crypto.com says the SEC has shut its investigation into the exchange, marking the last crypto firm to have the agency’s probes dropped. https://www.theblock.co/post/348558/crypto-com-says-secs-investigation-has-been-shut-with-no-plan-to-pursue-charges
SEC Takes Action Against Investment Adviser and Executives Over Misappropriation of Assets Washington, D.C., March 7, 2025 – The Securities and Exchange Commission (SEC) has announced settled charges against registered investment adviser Momentum Advisors LLC, along with its former managing partner Allan J. Boomer and former chief operating officer Tiffany […]
By Mark J. Astarita, Esq. For individuals and businesses involved in securities-related matters, facing a subpoena can be daunting. These investigations can be lengthy, detailed, and quite intense. The SEC wields substantial authority to investigate potential violations of securities laws, and responding to a subpoena demands a keen understanding of […]
The SEC has taken action against Prime Group Holdings LLC, a private equity firm specializing in alternative real estate assets. The SEC’s charges revolve around the firm’s failure to provide adequate disclosure concerning substantial real estate brokerage fees paid to an affiliate, owned by Prime Group’s CEO.
Introduction In a groundbreaking development, the SEC has made history by awarding over $104 million to seven whistleblowers. This announcement, which took place on August 4, 2023, marks the fourth largest award ever granted under the SEC’s whistleblower program. These individuals played a pivotal role in facilitating a successful SEC […]
The SEC has taken action against Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively referred to as Wells Fargo). The SEC has charged Wells Fargo for the excessive charging of over 10,900 investment advisory accounts, resulting in more than $26.8 million in undue advisory fees. […]
Introduction: The SEC has announced a settlement involving Bittrex Inc., a prominent crypto asset trading platform, and its co-founder, William Shihara. The agreement pertains to charges of operating an unregistered national securities exchange, broker, and clearing agency. Bittrex Inc.’s foreign affiliate, Bittrex Global GmbH, is also included in the settlement, […]
Aug. 7, 2023 — The SEC announced settled charges against Theorem Fund Services LLC (TFS), a prominent fund administrator based in Boca Raton, Florida. The charges were brought against TFS for their failure to respond adequately to red flags related to a fraud perpetrated against a private fund and its […]
The Securities and Exchange Commission (SEC) has taken filed a complaint in the United States District Court for the Northern District of California, against William K. Ichioka, a resident of New York, New York, for engaging in a fraudulent investment scheme. The complaint alleges that Ichioka targeted individual investors primarily in […]
