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SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity, and Inclusion Initiatives and Progress Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC to Highlight Free Investor Education Resources During Financial Capability Month Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Mark Reinhold Named SEC Chief Human Capital Officer Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Awards More Than $12 Million to Two Whistleblowers Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct Read the Full Press Release SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency Read the Full Press Release SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud Read the Full Press Release SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme Read the Full Press Release UBS Agrees to Acquire Credit Suisse
Category Archives: Investor
SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity, and Inclusion Initiatives and Progress
The Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) today released its Fiscal Year (FY) 2022 Annual Report to Congress. The report summarizes the SEC’s actions and achievements towards promoting diversity, equity,…
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SEC to Highlight Free Investor Education Resources During Financial Capability Month
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “Investing for everyone.” All month long, SEC leadership and staff will promote…
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SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud
The Securities and Exchange Commission today charged three executives of Mobile, Alabama-based shipbuilder, Austal USA LLC, for orchestrating a fraudulent revenue recognition scheme that allowed its parent company to meet or exceed analyst expectations…
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Mark Reinhold Named SEC Chief Human Capital Officer
The Securities and Exchange Commission today announced that Mark D. Reinhold has been named the agency’s Chief Human Capital Officer and Director of the Office of Human Resources. He has served as the acting head of the office since October 2022. Mr.…
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SEC Awards More Than $12 Million to Two Whistleblowers
The Securities and Exchange Commission today announced awards of more than $12 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted the opening of the…
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SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. Tafaro, for their improper professional conduct in connection with audits of two…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange, broker, and clearing agency. The SEC also charged the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2023/03/sec-charges-crypto-trading-platform.html
SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme
The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that raised more than $850 million. According to the SEC’s…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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UBS Agrees to Acquire Credit Suisse
The two banks entered into the merger agreement on Sunday (19 March), although it remains subject to customary closing conditions.The surprise announcement had come to the fore late on Friday with both sides working over the weekend to reach an arrangement.https://citywire.com/new-model-adviser/news/ubs-to-acquire-credit-suisse-in-emergency-rescue/a2412164?re=107225&refea=1889495
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https://seclaw.blogspot.com/2023/03/ubs-agrees-to-acquire-credit-suisse.html