The Law of the Financial Markets from Top Securities Lawyers
Monday, February 9, 2026
Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, has agreed to pay a $3 million civil penalty to settle charges over misleading disclosures about a 2020 ransomware attack that impacted more than 13,000 customers. The SEC announced the settlement on March 9, […]
On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]
The Securities and Exchange Commission (SEC) has charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his involvement in a multiyear scheme to defraud equity investors in FTX, a crypto trading platform that Singh co-founded with Samuel Bankman-Fried and Gary Wang. The scheme allegedly involved diverting […]
By Mark J. Astarita, Esq. Navigate the SEC whistleblower process with our comprehensive guide. Learn how to report financial misconduct confidently and protect your identity. A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector. The SEC whistleblower […]
Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and opportunities, such as access to new capital, increased visibility, and enhanced credibility. However, the process of going public can be quite complex and challenging. In this article, […]
Feb. 24, 2023 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of Private Markets relative to the Public […]
Ensign Peak Advisers Inc., a non-profit entity owned and operated by The Church of Jesus Christ of Latter-day Saints, has settled charges with the Securities and Exchange Commission (SEC) for failing to file required disclosure forms related to the Church’s equity investments. The SEC also announced charges against the Church […]
The SEC has charged Milan Vinod Patel, a resident of Cumming, Georgia, for disseminating over 100 false rumors about publicly traded companies, resulting in more than $1 million in illicit trading profits. In the past, the SEC had charged four other individuals, namely Barton Ross, Mark Melnick, Anthony Salandra, and […]
On February 15th, 2023, the Securities and Exchange Commission (SEC) announced its proposed rule changes to enhance protections for customer assets managed by registered investment advisers. If adopted, the changes would amend and redesignate rule 206(4)-2, the Commission’s custody rule, under the Investment Advisers Act of 1940, and amend certain […]
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 […]
