Last week, the SEC Division of Trading and Markets published a staff bulletin highlighting various risks for broker-dealers arising from certain transactions…
Read MoreAccording to the annual report published by the Division of Enforcement of the U.S. Securities and Exchange Commission (the "SEC"), there were…
Read MoreLast week, E*TRADE, a subsidiary of Morgan Stanley, which offers an electronic trading platform to trade financial assets including common stocks, announced…
Read MoreOn November 13, 2020, the Securities and Exchange Commission (the “SEC”) announced an award of over $1.1 million to a whistleblower whose…
Read MoreThe SEC adopted amendments to: (1) establish a new integration framework for issuers to move from one securities offering exemption to another;…
Read MoreOn October 6, 2020, the Securities and Exchange Commission (the “SEC”) charged businessman and computer programmer, John McAfee, for promoting investments in…
Read MoreEdward T. Kelly, Aceto Corporation, Insider Trading, Lakewood Ranch Florida
Read MoreOn October 1, 2020, the U.S. District Court for the Eastern District of Pennsylvania entered a final consent judgment against Nicholas Tornello,…
Read MoreAt its October 7, 2020 open meeting, the Securities and Exchange Commission (the “SEC”) voted to propose exemptive relief for certain finders…
Read MoreOn September 16, 2020, SEC amended Exchange Act Rule 15c2-11 and Form 211. Changes to Rule 15c2-11 were proposed last year. The OTC…
Read MoreOn August 26, 2020, the United States Securities and Exchange Commission (the “SEC”) finalized its proposed rule amending the disclosure requirements under…
Read MoreRule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended…
Read MoreThe SEC filed an enforcement action against John Fife, an unregistered dealer and 5 companies he controlled including St. George Investments LLC…
Read MoreAs business owners, it’s important that you watch out for all of these forms of business identity theft. Your business, whether big…
Read MoreOn June 17th, 2020, the SEC charged international insurance company AmTrust Financial Services, Inc. and its former CFO Ronald E. Pipoly Jr.…
Read MoreThe SEC has obtained final judgments against movie director and convicted felon Daniel Adams, music producer Michael Flanders, and companies under their…
Read MoreDilution Funders and Dilution Financings Challenged by SEC
Read MoreThe U.S. District Court for the Eastern District of New York entered a final judgment as to monetary relief against the former…
Read MoreThe SEC announced that it has obtained final judgments by consent against Ronald Hardy, Anthony Vassallo, and Sergio Ramirez charged for their…
Read MoreThe SEC announced that it has obtained court approval of settlements with eight defendants: Arkadiy Dubovoy, Igor Dubovoy, Southeastern Holding and Investment…
Read MoreSales of restricted securities by affiliates and control persons of publicly traded companies are subject to requirements not applicable to other sellers…
Read MoreForm 3 must be filed within ten (10) calendar days after a person becomes a Section 16 insider. Form 3 is a…
Read MoreWhen the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
Read MoreThe SEC charged Jason C. Nielsen, a penny stock trader in Santa Cruz, California, with conducting a fraudulent pump-and-dump scheme in the…
Read MoreUnited States District Court for the Northern District of Ohio entered final consent judgments against recidivist investment adviser Brandon E. Copeland and…
Read MoreThe United States District Court for the Central District of California entered a preliminary injunction and orders freezing assets and imposing other…
Read MoreThe SEC announced that it has obtained final judgments that will require a former privately held dermatology products manufacturer, Stiefel Laboratories, and…
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