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Securities and Exchange Commission Files Fraud Suit Against U.S. Public Company that was Formed as a Result of a Reverse Merger with Chinese Company
3 Dec 2012, 3:49 am
On November 30, 2012, the Securities Exchange Commission announced that it has filed a complaint in the [read post]
InsureReinsure.Com: The Insurance & Reinsurance Blog - http://www.insurereinsure.com/
The Securities and Exchange Commission Finalizes Rules on Whistleblower Reward Program
13 Jul 2011, 10:42 am
The Securities and Exchange Commission (SEC) has adopted final rules establishing a whistleblower program [read post]
Whistleblower Qui Tam Law Blog - http://www.whistleblowerquitamlaw.com/
Securities and Exchange Commission seeks to compell Covington & Burling LLP lawfirm to answer investigative subpoena regarding cyberattack and says it stalled the SEC investigation
18 Jan 2023, 12:15 pm by jeffreynewmanadmin
The Securities and Exchange Commission has filed a case against Covington & Burling, one of the largest [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Today, I asked ChatGPT: How does the Securities and Exchange Commission use AI to spot insider trading? Here is what it said to me:
25 May 2023, 7:24 am by jeffreynewmanadmin
The Securities and Exchange Commission (SEC) utilizes artificial intelligence (AI) techniques to help [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges steel pipe manufacturer with violating Foreign Corrupt Practices Act for Brazilian bribes. Tenaris to pay $78 Million to settle
3 Jun 2022, 6:59 am by jeffreynewmanadmin
The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges Egan-Jones Ratings Company and CEO Sean Egan with Conflict of Interest Violations and Egan-Jones to pay $1.7 Million to settle case
21 Jun 2022, 9:04 am by jeffreynewmanadmin
The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges former Morgan Stanley financial adviser for misappropriating over a million dollars from current and former NBA players
23 Mar 2023, 1:44 pm by jeffreynewmanadmin
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges Canadian cannabis Nasdaq-listed company Cronos Group Inc. for improperly accounting for millions in revenue
25 Oct 2022, 12:49 pm by jeffreynewmanadmin
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme
4 Aug 2020, 6:53 am by Silver Law Group
On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
2015 Securities and Exchange Commission Examination Priorities
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (&ldquo [read post]
Investment Fund Law Blog - http://www.investmentfundlawblog.com/
2015 Securities and Exchange Commission Examination Priorities
6 Feb 2015, 1:46 pm by Jessica M. Brown
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (&ldquo [read post]
Investment Fund Law Blog - http://www.investmentfundlawblog.com/
Securities And Exchange Commission Amends Rules For Share Repurchase Disclosures
4 May 2023, 12:15 am
The Securities and Exchange Commission yesterday adopted amendments to its rules governing share repurchase [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
Securities and Exchange Commission charges exiled Chinese businessman Miles Guo and financier William Je in $850 million fraud scheme
15 Mar 2023, 8:23 am by jeffreynewmanadmin
Chinese businessman Miles Guo and his financial advisor William Je have been charged by the Securities [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
The Securities And Exchange Commission Charges Investor Relations Executive With Insider Trading
25 Jul 2014, 9:35 am by Lax & Neville LLP
On July 22, 2014, the Securities and Exchange Commission (“SEC”) charged Kevin McGrath (& [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Securities and Exchange Commission charges Terren S. Peizer, Executive Chairman of Ontrak Inc., a healthcare group of insider trading
1 Mar 2023, 12:59 pm by jeffreynewmanadmin
The Securities and Exchange Commission has charged Terren S. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm
31 Mar 2023, 7:01 am by jeffreynewmanadmin
The Securities and Exchange Commission filed insider trading charges against Sean Wygovsky, a former [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission orders wealth managers Waddell & Reed to pay $776,000 for failure to ensure wrap fee investment program was appropriate for clients
20 Sep 2022, 12:14 pm by jeffreynewmanadmin
The Securities and Exchange Commission ordered  Waddell & Reed to pay close to $776,000 [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Charles Schwab Cop to pay $200 million to the Securities & Exchange Commission regarding Schwabs automated software portfolio management services
13 Jun 2022, 6:56 am by jeffreynewmanadmin
company said it expects to book a charge of at least $200 million in the second quarter relating to a Securities [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission enacts strict new rules on how broker-dealers must create and preserve electronic records for security and compliance reasons. Here’s what’s required:
13 Oct 2022, 2:13 pm by jeffreynewmanadmin
The Securities and Exchange Commission has passed new rules requiring detailed electronic recordkeeping [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
The Government Shutdown Stalls the Securities and Exchange Commission’s Enforcement Activity After Impressive 2018 Achievements
18 Jan 2019, 9:20 am by Malecki Law Team
The current ongoing federal government shutdown adversely affects the Securities and Exchange Commission [read post]
New York Securities Fraud Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/