Securities and Exchange Commission v. Manhattan Transfer Registrar Company and John C. AhearnOctober 4, 2022 Read More
SEC Targets Publicly Traded Chinese Issuers Under the Holding Foreign Companies Accountable ActAugust 24, 2022 Read More
SEC Charges Glenn B. Laken, Davies Wong, Richard Tang and 15 other Defendants and names Jason Black as a Relief Defendant in International Scheme to Manipulate Stocks Using Hacked US Brokerage AccountsAugust 16, 2022 Read More
SEC Charges Broker-Dealer Alpine Securities Corporation and Two Employees with Engaging in Unauthorized Securities TransactionsAugust 11, 2022 Read More
SEC Charges Simon Piers Thurlow, Roger Leon Fidler, Richard Oravec, Bradley Fidler, Bryce Emory Boucher, Joseph D. Jordan in Illegal Microcap OfferingAugust 5, 2022 Read More
SEC Charges Convertible Note Dealer Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot for Failure to RegisterAugust 2, 2022 Read More
SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme known as ForsageAugust 1, 2022 Read More
SEC Charges Bradley Moynes and Digatrade Financial Corp in Fraudulent Microcap SchemeJuly 4, 2022 Read More
SEC Charges Empires Consulting Corp and its founders, Emerson Sousa Pires and Flavio Mendes Goncalves, and head trader, Joshua David Nicholas, with Fake Trading SchemeJuly 1, 2022 Read More
SEC Sues LG Capital Funding and Its Managing Member, Joseph Lerman, for Acting as Unregistered Securities DealersJune 15, 2022 Read More
In Jarkesy v. Securities and Exchange Commission, the US Court of Appeals for the Fifth Circuit held that the Securities and Exchange Commission’s (SEC) adjudication of fraud cases in administrative proceedings is unconstitutionalJune 4, 2022 Read More
Court Denies Carebourn Capital’s Motion for Judgement on the Pleadings in SEC CaseMay 29, 2022 Read More
SEC obtains asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. LachowMay 19, 2022 Read More
OTCQX Markets Foreign Issuer Dual Listings – OTCQX Eligibility, Listing, QuotationMay 16, 2022 Read More
