The Securities and Exchange Commission today announced settled charges against Loci Inc. and its CEO John Wise for making materially false and misleading statements in connection with an unregistered offer and sale of digital asset securities.… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Tag: Securities Law
SEC Obtains Asset Freeze Against Offshore Fund and Its Operators
The Securities and Exchange Commission today announced that it has filed an emergency action charging an offshore fund and two individuals with engaging in a fraudulent scheme, and obtained an asset freeze to safeguard remaining investor funds at risk of… Read the Full Press Release Have a securities law question? […]
SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
The Securities and Exchange Commission today announced awards of nearly $5.3 million to whistleblowers who provided information and assistance in separate enforcement proceedings. In the first order, the SEC awarded a whistleblower nearly $4 million for… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
Morgan Stanley Forcing You Back to the Office?
Maybe it is time to transition or to go independent. Call the broker transition lawyers at Sallah Astarita & Cox for a free consultation. 212-509-6544 The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, […]
Regulators Offer Free Resource to Securities Firms to Assist in Addressing Financial Exploitation of Seniors
In recognition of World Elder Abuse Awareness Day, the U.S. Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel
The Securities and Exchange Commission today announced that Renee Jones has been appointed Director of the Division of Corporation Finance. John Coates, the Division’s current Acting Director, has been named SEC General Counsel. Both appointments are… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
The Securities and Exchange Commission today charged Edgar M. Radjabli of Boca Raton, Florida, and two entities he controlled for engaging in three separate securities frauds of escalating size. The SEC’s complaint alleges that Radjabli, formerly a… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Announces Annual Regulatory Agenda
The Office of Information and Regulatory Affairs today released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Investor Advisory Committee to Meet Remotely On June 10
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on June 10 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Approves Registration of First Security-Based Swap Data Repository
The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With today’s registration of DTCC Data Repository (U.S.), LLC (DDR), the security-based swap market now… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
