The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag: Securities Defense Attorney
SEC Issues $28 Million Award to Joint Whistleblowers
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
Bloomberg to Pay $5 Million for Misleading Disclosures about Its Valuation Methodologies for Fixed Income Securities
Jan. 23, 2023 —The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. (Bloomberg) for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for fixed-income securities to financial services entities. The SEC’s order finds that from at least 2016 through October […]
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates for appointment to the Small Business Capital Formation Advisory Committee to provide advice and recommendations on Commission rules, regulations, and policy matters relating to small… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets
The Securities and Exchange Commission today charged Avraham Eisenberg with orchestrating an attack on a crypto asset trading platform, Mango Markets, by manipulating the MNGO token, a so-called governance token that was offered and sold as a security.… Read the Full Press Release Have a securities law question? Call New […]
SEC Awards More Than $5 Million to Whistleblower
Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action. The whistleblower provided a tip and additional information that helped SEC staff shape its investigative strategy, identify witnesses, and draft document […]
SEC Announces Departure of Renee Jones; Erik Gerding Named Director of Division of Corporation Finance
The Securities and Exchange Commission today announced that Renee Jones, Director of the Division of Corporation Finance, will depart the agency to return to her faculty position at Boston College Law School, effective Feb. 3, 2023. Erik Gerding,… Read the Full Press Release Have a securities law question? Call New […]
SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program
The Securities and Exchange Commission today charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program. Through this… Read the Full Press Release Have a securities law question? Call New York […]
Paul Munter Named Chief Accountant
The Securities and Exchange Commission today announced that Paul Munter has been appointed Chief Accountant. He has served as Acting Chief Accountant since January 2021. As Chief Accountant, Mr. Munter will continue to lead the Office of the Chief… Read the Full Press Release Have a securities law question? Call […]
SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate
The Securities and Exchange Commission today announced the appointment of Cristina Martin Firvida as Director of the Office of the Investor Advocate, effective Jan. 17, 2023. Ms. Martin Firvida was most recently the Vice President of Financial Security… Read the Full Press Release Have a securities law question? Call New […]
