SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Washington D.C., May 3, 2022 — The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for...
President of Synergy Settlement Services accused of misusing beneficiaries’ funds on golf tournaments and beach parties
Defendants allegedly used funds from deceased beneficiaries’ accounts on golf tournaments and beach parties
Washington D.C., May 2, 2022 — The Securities and Exchange Commission...
SEC Announces Older Investor Roundtable Virtual Event on April 28
Washington D.C. — The Securities and Exchange Commission will hold a virtual event on April 28 along with the North American Securities Administrators Association...
Check out SEC’s updated list of firms using inaccurate information to solicit investors
Washington D.C. — The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit...
16 defendants charged in international $194M “pump and dump” plots
SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents
This week the Securities and Exchange Commission announced charges against 16 defendants, located in...
Former CFO of Publicly Traded Brazilian Company Charged in Fraud Scheme
A superseding indictment was unsealed today in the Southern District of Iowa charging the former Chief Financial Officer (CFO) of publicly traded reinsurance company,...
TRO and asset freeze against alleged perpetrators of nearly $450M Ponzi Scheme
Washington D.C. — The Securities and Exchange Commission today announced charges and an asset freeze against several Las Vegas-area individuals and companies allegedly behind...
Former Goldman Sachs Investment Banker Convicted in Massive Bribery and Money Laundering Scheme
Roger Ng Found Guilty of Conspiring to Violate the Foreign Corrupt Practices Act and Commit Money Laundering in Connection with 1MDB Scheme
A former Managing...
SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
The Securities and Exchange Commission proposed this week new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a...
SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”
Washington D.C. — The Securities and Exchange Commission has proposed proposed two rules that would require market participants, such as proprietary (or principal) trading...