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SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme
May 23, 2019The Securities and Exchange Commission filed an emergency action charging Robert C. Morgan, a New York residential and commercial real[...]
Read ArticleSEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
May 21, 2019The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing $30 million Ponzi scheme[...]
Read ArticleSEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
May 21, 2019The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing $30 million Ponzi scheme[...]
Read ArticleSEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement
May 20, 2019At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Securities[...]
Read ArticleJury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
May 15, 2019Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm[...]
Read ArticleSEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
May 10, 2019The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for[...]
Read ArticleSEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
May 09, 2019The Securities and Exchange Commission today voted to propose amendments to the accelerated filer and large accelerated filer definitions. The[...]
Read ArticleSEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
May 07, 2019The Securities and Exchange Commission today announced settled insider trading charges against a Nevada man who obtained confidential information about[...]
Read ArticleSEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud
May 03, 2019The Securities and Exchange Commission today charged a New Hampshire-based company and its former CEO with misleading investors about the[...]
Read ArticleSEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
May 03, 2019The Securities and Exchange Commission voted to propose rule amendments to improve the information that investors receive regarding the acquisition[...]
Read ArticleAdam S. Aderton Named Co-Chief of the Asset Management Unit
May 02, 2019The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's[...]
Read ArticleSEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week
April 30, 2019The Securities and Exchange Commission today announced that its Office of the Advocate for Small Business Capital Formation will host[...]
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