• Alan Z. Appelbaum
    Friday, November 17, 2023 from SEC.gov Updates: Litigation Releases
    Alan Z. Appelbaum
  • Marguerite Cassandra Toroian and Bell Rock Capital, LLC
    Thursday, November 16, 2023 from SEC.gov Updates: Litigation Releases
    Marguerite Cassandra Toroian and Bell Rock Capital, LLC
  • Matthew Melton
    Wednesday, November 15, 2023 from SEC.gov Updates: Litigation Releases
    Matthew Melton
  • Jake Soberal and Irma Olguin, Jr.
    Wednesday, November 15, 2023 from SEC.gov Updates: Litigation Releases
    Jake Soberal and Irma Olguin, Jr.
  • Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations
    Tuesday, November 14, 2023 from Press Releases
    The Securities and Exchange Commission today announced settled charges against Charter Communications Inc. for violating internal accounting controls requirements relating to its stock buybacks. According to the SEC’s order, Charter’s...
  • SEC Announces Enforcement Results for Fiscal Year 2023
    Tuesday, November 14, 2023 from Press Releases
    The Securities and Exchange Commission today announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8...
  • John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
    Thursday, November 9, 2023 from SEC.gov Updates: Litigation Releases
    John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
  • SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors
    Thursday, November 9, 2023 from Press Releases
    The Securities and Exchange Commission today announced charges against Jake Soberal and Irma Olguin, Jr., the former co-CEOs of Fresno, California-based private technology services startup Bitwise Industries Inc., for misleading...
  • Premium Point Investments LP et al.
    Wednesday, November 8, 2023 from SEC.gov Updates: Litigation Releases
    Premium Point Investments LP et al.
  • SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
    Thursday, November 2, 2023 from Press Releases
    The Securities and Exchange Commission today announced that Canada’s largest bank, Royal Bank of Canada, will pay a $6 million penalty to settle charges that it violated the books and records and internal accounting controls provisions...
  • John Hughes
    Thursday, November 2, 2023 from SEC.gov Updates: Litigation Releases
    John Hughes
  • SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
    Thursday, November 2, 2023 from Press Releases
    The Securities and Exchange Commission today charged John Hughes, president and chief compliance officer of registered investment adviser Prophecy Asset Management LP, for his involvement in a multi-year fraud that concealed losses of...
  • SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
    Thursday, November 2, 2023 from Press Releases
    The Securities and Exchange Commission today adopted new Regulation SE under the Securities Exchange Act of 1934 to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). The new...
  • SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith
    Wednesday, November 1, 2023 from SEC.gov Updates: Litigation Releases
    SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith
  • SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities
    Wednesday, November 1, 2023 from Press Releases
    The Securities and Exchange Commission today charged SafeMoon LLC, its creator Kyle Nagy, SafeMoon US LLC, and the companies’ Chief Executive Officer, John Karony, and Chief Technology Officer, Thomas Smith, for perpetrating a massive...
  • SolarWinds Corporation and Timothy G. Brown
    Tuesday, October 31, 2023 from SEC.gov Updates: Litigation Releases
    SolarWinds Corporation and Timothy G. Brown
  • SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
    Tuesday, October 31, 2023 from Press Releases
    The Securities and Exchange Commission today announced fraud charges against Eduardo Hernandez, Christopher Flagg, Daquan Lloyd, and Corey Ortiz, all currently or formerly of Long Island, New York, for perpetrating a multi-year...
  • SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
    Monday, October 30, 2023 from Press Releases
    The Securities and Exchange Commission today announced charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. Brown, for fraud and internal control failures...
  • Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
    Friday, October 27, 2023 from SEC.gov Updates: Litigation Releases
    Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
  • Julie Anne Darrah, et al.,
    Wednesday, October 25, 2023 from SEC.gov Updates: Litigation Releases
    Julie Anne Darrah, et al.,
  • SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
    Tuesday, October 24, 2023 from Press Releases
    The Securities and Exchange Commission today charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded...
  • Thor Technologies, Inc. and David Chin
    Thursday, October 19, 2023 from SEC.gov Updates: Litigation Releases
    Thor Technologies, Inc. and David Chin
  • SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
    Wednesday, October 18, 2023 from Press Releases
    The Securities and Exchange Commission today proposed a new rule that would prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency or riskless principal...
  • Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
    Wednesday, October 18, 2023 from SEC.gov Updates: Litigation Releases
    Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
  • Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
    Tuesday, October 17, 2023 from Press Releases
    Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened a hybrid meeting today to discuss certain...
  • Brian Marc Rubin
    Tuesday, October 17, 2023 from SEC.gov Updates: Litigation Releases
    Brian Marc Rubin
  • SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
    Monday, October 16, 2023 from Press Releases
    The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, and other emergency relief to halt an ongoing fraud targeting the Indian American community that has raised nearly $130...
  • SEC Division of Examinations Announces 2024 Priorities
    Monday, October 16, 2023 from Press Releases
    The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on...
  • Frederick L. Sharp et al.,
    Friday, October 13, 2023 from SEC.gov Updates: Litigation Releases
    Frederick L. Sharp et al.,
  • SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection
    Friday, October 13, 2023 from Press Releases
    The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. Congress directed the SEC in...
  • SEC Adopts Rule to Increase Transparency in the Securities Lending Market
    Friday, October 13, 2023 from Press Releases
    The Securities and Exchange Commission today adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered national securities association (RNSA) and require RNSAs to make...
  • SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
    Tuesday, October 10, 2023 from Press Releases
    The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments update Regulation 13D-G to require market...
  • Elon R. Musk
    Thursday, October 5, 2023 from SEC.gov Updates: Litigation Releases
    Elon R. Musk
  • Matthew M. Motil, et al.
    Wednesday, October 4, 2023 from SEC.gov Updates: Litigation Releases
    Matthew M. Motil, et al.
  • SEC Names Stephanie Allen as Director of Media Relations and Speechwriting
    Wednesday, October 4, 2023 from Press Releases
    The Securities and Exchange Commission today announced the appointment of Stephanie Allen as Director of Media Relations and Speechwriting, effective Oct. 1, 2023. Ms. Allen has served as Director of Speechwriting and Senior Adviser to...
  • Zera Financial LLC
    Tuesday, October 3, 2023 from SEC.gov Updates: Litigation Releases
    Zera Financial LLC
  • Shannon Westhead, et al.; ABFP Income Fund Parallel, LLC, et al.
    Monday, October 2, 2023 from SEC.gov Updates: Litigation Releases
    Shannon Westhead, et al.; ABFP Income Fund Parallel, LLC, et al.
  • SEC Spotlights Due Diligence During World Investor Week 2023
    Monday, October 2, 2023 from Press Releases
    The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023, which takes place October 2-8. Arising technologies and new digital tools...
  • Nano-x Imaging Ltd. and Ran Poliakine
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    Nano-x Imaging Ltd. and Ran Poliakine
  • Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.
  • Steven J. Jacobson; Advisor Resource Council
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    Steven J. Jacobson; Advisor Resource Council
  • Stephone N. Patton, Star Oil and Gas Company, Inc., et al.
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    Stephone N. Patton, Star Oil and Gas Company, Inc., et al.
  • SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal...
  • Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
  • John Feloni and Stock Squirrel, Inc.
    Friday, September 29, 2023 from SEC.gov Updates: Litigation Releases
    John Feloni and Stock Squirrel, Inc.
  • SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission today proposed tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs). The amendments would highlight key information about RILAs, allow...
  • SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence...
  • SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. E. Shaw & Co., L.P. for raising impediments to whistleblowing by requiring employees to sign agreements...
  • SEC Charges 10 Firms with Widespread Recordkeeping Failures
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures...
  • SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures
    Friday, September 29, 2023 from Press Releases
    The Securities and Exchange Commission today announced charges against credit rating agencies DBRS Inc. and Kroll Bond Rating Agency, LLC (KBRA) for longstanding failures to preserve electronic records, including off-channel...
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