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SEC Appoints Deborah J. Jeffrey as Inspector General Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Oppenheimer Looking for Miami Advisors Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapse Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC to Host Municipal Securities Disclosure Conference Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Category Archives: Investor
SEC Appoints Deborah J. Jeffrey as Inspector General
The Securities and Exchange Commission today announced the appointment of Deborah J. Jeffrey as Inspector General, effective May 7, 2023. Ms. Jeffrey is currently the Inspector General of AmeriCorps. “Deb will bring incredible experience in public…
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SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information
The Securities and Exchange Commission today reopened the comment period and provided supplemental information on proposed amendments to the definition of “exchange” under Exchange Act Rule 3b-16. The Commission initially proposed the amendments in…
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Oppenheimer Looking for Miami Advisors
We’re in growth mode’: Oppenheimer on the hunt for int’l advisors in MiamiThe firm is looking to grow its share of the international wealth management space after having recently opened a new office in Miami to house its advisor
Mark Astarita has been representing advisors who are changing firms and firms who are hiring thos advisors for decades. Looking to make a move? Call him at 212.509.6544.
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Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapse
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from the…
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SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme
The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in…
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SEC to Host Municipal Securities Disclosure Conference
The Securities and Exchange Commission today opened public registration for its Municipal Securities Disclosure Conference, which will be held on May 10, 2023, at the SEC’s headquarters. The conference, held in a hybrid format with both in-person and…
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SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading
The Securities and Exchange Commission today charged New Jersey-based Chatham Asset Management LLC and its founder, Anthony Melchiorre, in connection with improper trading of certain fixed income securities. Chatham and Melchiorre agreed to pay more than…
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SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. To settle the…
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Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation has opened registration for the SEC’s 42nd Annual Government-Business Forum on Small Business Capital Formation, which will take place April 24-27. The…
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SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company
The Securities and Exchange Commission today charged Charlie Javice, the founder of the now shuttered student loan assistance company previously known as Frank, with fraud in connection with the $175 million sale of the company to JPMorgan Chase Bank, N.…
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