SEC Charges New York Businessman with Fraud and Unregistered Sales of...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today charged Nadim Ahmed, a New York-based businessman and his companies, NuRide Transportation Group, LLC and...
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SEC Charges Kraken for Unregistered Securities Operations
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission (SEC) has taken action against Payward Inc. and Payward Ventures Inc., collectively known as Kraken. The SEC...
View ArticleSEC Small Business Advisory Committee to Discuss the Accredited Investor...
Facebook Twitter LinkedIn Reddit Messenger Email SEC Small Business Capital Formation Advisory Committee Meeting Agenda The Securities and Exchange Commission’s Small Business Capital Formation...
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9 Proven Strategies for Defending an SEC Investigation
Facebook Twitter LinkedIn Reddit Messenger Email Defending an SEC Investigaton Facing an SEC investigation can be a daunting challenge for any individual or organization and defending an SEC...
View ArticleSEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today adopted Securities Act Rule 192 to implement Section 27B of the Securities Act of 1933, a provision added...
View ArticleSEC Names Kate E. Zoladz as Regional Director of Los Angeles Office
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles Office, effective Dec....
View ArticleSEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company ArciTerra Companies LLC and...
View ArticleSEC Investor Advisory Committee to Examine Use of Complex Investment Products...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. ET. The meeting...
View ArticleSEC Investor Advocate’s Recommendations on Arbitration and Index-Linked...
Facebook Twitter LinkedIn Reddit Messenger Email Washington D.C., Dec. 5, 2023 — In a move towards transparency and investor empowerment, the Securities and Exchange Commission’s Office of the...
View ArticleSEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced charges against Raymond J. Pirrello, Jr., Marcello Follano, Robert Cassino, Anthony DiTucci,...
View ArticleDaniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced that Daniel R. Gregus, Director of the Chicago Regional Office, will leave the agency at the end...
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Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual...
Facebook Twitter LinkedIn Reddit Messenger Email Overview of the SEC Enforcement Action The Securities and Exchange Commission (SEC) announced an enforcement action against Credit Suisse Securities...
View ArticleSEC Approves 2024 PCAOB Budget and Accounting Support Fee
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today approved the 2024 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual...
View ArticleSEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, the appointment of a receiver, and...
View ArticleSEC Small Business Advocacy Office Delivers Report to Congress on Capital...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2023 Annual Report today to Congress...
View ArticleSEC Issues Staff Report on Accredited Investor Definition
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today issued a staff report on the accredited investor definition. The Dodd-Frank Wall Street Reform and...
View ArticleSEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme
Facebook Twitter LinkedIn Reddit Messenger Email Exposing the Titanium Capital Ponzi Scheme: A Cautionary Tale for Investors Washington D.C., Dec. 14, 2023- The SEC has charged Titanium Capital LLC,...
View ArticleSEC Argues against Liu Disgorgement Ruling
Facebook Twitter LinkedIn Reddit Messenger Email On Friday, the Securities and Exchange Commission asked a federal appeals court to reconsider a ruling that it said prevents the agency from clawing...
View ArticleSEC Adopts Rules to Improve Risk Management in Clearance and Settlement and...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. Treasury...
View ArticleSEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and...
Facebook Twitter LinkedIn Reddit Messenger Email The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other emergency relief against...
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