Yesterday we posted about the SEC insider trading case which is attempting to claim that crypto assets are securities and trading on material, non-public information regarding them violates the federal securities laws. SEC Files First Crypto Insider Trading Case, But the Trading Doesn’t Involve a Security Today we learned of […]
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SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. The two clients, Sequential Brands Group, Inc. and Longfin Corp., previously were charged by the… Read the Full Press Release Have a securities law question? Call New York […]
SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCT
The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Announces Eight New Investor Advisory Committee Members
The Securities and Exchange Commission today announced eight new members to fill all vacancies on its Investor Advisory Committee. The new members join 15 current committee members. The committee, established under the Dodd-Frank Wall Street Reform… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Charges Charlotte Man With Operating $7 Million Ponzi Scheme
https://www.charlottestories.com/sec-charges-charlotte-man-with-operating-7-million-ponzi-scheme/ Get Outlook for Android
SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities
The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities. This is the SEC’s first-ever enforcement proceeding under Section 11 of the Investment… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the… Read the Full Press Release Have a securities law question? Call New […]
Representation of Investors in EminiFX
According to the US Attorney for the Southern District of New York, and the Commodity Futures Trading Commission, Eddy Alexandre the leader of a purported cryptocurrency and forex trading platform called EminiFX, has been charged with commodities fraud and wire fraud offenses. The CFTC also obtained an order from the […]
Work-from-home stocks are getting crushed
News from CNN.com News: What you need to know about the markets Work-from-home stocks are getting crushed You remember the early days of the pandemic, when millions of office workers started doing their jobs from home for the first time. Read more » Here’s what’s getting more expensive at […]
SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS
May 9, 2022 — The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it will reopen the comment periods on the proposed rulemaking […]
