Tag: Securities Lawyer

SEC Enforcement
Enforcement

Invesco Advisers Faces SEC Penalty for Misleading ESG Claims

In a recent enforcement action, the U.S. Securities and Exchange Commission (SEC) penalized Invesco Advisers, Inc., accusing the investment management firm of making deceptive claims regarding the percentage of its assets under management (AUM) that incorporated environmental, social, and governance (ESG) factors. This Atlanta-based investment adviser agreed to a $17.5 […]

SEC Enforcement
Enforcement

SEC Charges Four Companies With Misleading Cyber Disclosures

Introduction to the SEC‘s Recent Cybersecurity Charges The Securities and Exchange Commission (SEC) recently announced charges against four major corporations: Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd, and Mimecast Limited. These companies were accused of making materially misleading disclosures regarding cybersecurity risks and incidents. Additionally, Unisys faced […]

Enforcement

TD Securities Charged in Spoofing Scheme

SEC Charges TD Securities with Manipulating U.S. Treasury Market through Spoofing The Securities and Exchange Commission (SEC) recently announced charges against TD Securities (USA) LLC, a registered broker-dealer, for engaging in market manipulation in the U.S. Treasury cash securities market. The charges focus on the illicit trading practice known as […]