The Law of the Financial Markets from Top Securities Lawyers
Monday, October 13, 2025
Aug. 30, 2022 — The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their Malta-based registered investment adviser, Standard Advisory Services Limited, for defrauding clients out of more than $75 million through undisclosed transactions that benefited themselves and their companies. According […]
Aug. 25, 2022 — The Securities and Exchange Commission today adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant and the registrant’s financial performance. The rules implement a requirement mandated by the Dodd-Frank Act. The Commission proposed […]
Aug. 10, 2022 — The Securities and Exchange Commission today charged and Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. Angel Oak and Negandhi have agreed to settle charges and pay a penalty of $1.75 […]
Aug. 9, 2022 — The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted the opening of the investigation and provided information on difficult-to-detect violations. This whistleblower also identified […]
Stephen Buyer allegedly used inside information to buy $1.5 million in stocks. Criminal case pending as well July 25, 2022 – The Securities and Exchange Commission today filed insider trading charges against Stephen Buyer, a former U.S. Representative for Indiana’s 4th Congressional District. According to the SEC’s complaint, after leaving […]
Parallel Criminal Proceedings Filed for Each Case July 25, 2022 — The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. Those charged include a former chief information security officer […]
The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this market are typically from smaller companies that do not meet the listing requirements from the exchanges. The OTC market is the default exchange for some securities, like corporate bonds. Alternatively, […]
Really? You are in an industry that requires honesty and integrity, and you cheat on a qualification exam? Maybe the fact that it was administered remotely made it seem less serious, but really, if you can’t pass the exam without cheating, you need to find another career. These two don’t […]
Washington D.C., May 24, 2022 — TradeZero America Inc., and its co-founder, Daniel Pipitone settled SEC charges that it falsely stated to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact they did. In late January 2021, many brokers restricted investors’ ability to […]
Washington D.C., May 20, 2022 — The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports (SARs) in a timely manner between April 2017 and October 2021. Wells Fargo Advisors, the St. Louis-based broker-dealer, has agreed to pay […]
