The Law of the Financial Markets from Top Securities Lawyers
Wednesday, December 10, 2025
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 […]
The Securities and Exchange Commission has charged media and entertainment company Ozy Media Inc. and its executives with defrauding investors of approximately $50 million through misrepresentations regarding the company’s financial condition, business relationships, and fundraising efforts. The CEO of Ozy Media, Carlos R. Watson, Jr., the former COO Samir Rao, […]
The Securities and Exchange Commission (SEC) and the U.S. Attorney’s Office for the Southern District of New York have jointly charged Andrew Stiles and Gray Stiles with insider trading. Andrew Stiles is accused of trading Kodak and Novavax stocks based on nonpublic information related to the companies’ government partnerships aimed […]
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 […]
We discussed this case previously in connection with the firm’s CEO,s attempts to avoid service of a subpoena and his refusal to comply. The company not only refused to comply, but it sued the SEC for violation of various statutes. See, What Happens if I Ignore an SEC Subpoena. Now […]
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 […]
The Securities and Exchange Commission (SEC) has announced the adoption of new rule changes that will reduce the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date (T+2) to one business day (T+1). This change is expected to benefit investors and reduce […]
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 […]
