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SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations Read the Full Press Release Coinbase: From Hot IPO To Cold Wells Notice SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players Read the Full Press Release SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity Read the Full Press Release SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 Read the Full Press Release SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection Read the Full Press Release SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors Read the Full Press Release Animoca’s Yat Siu Says Crypto Is Becoming A ‘Safety Net’ Amid Banking Crisis SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information Read the Full Press Release SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets Read the Full Press Release
Category Archives: Investor
SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Coinbase: From Hot IPO To Cold Wells Notice
When the stock was issued at a price of $250 — which got filled by no investor — an immediate at-the-open rally took it up to $381 within minutes and then to a quick blast up to $424, a peak never to be seen again.
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SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a half…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered broker-…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
The U.S. Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics: Students Fight for Investor Justice,” on Wednesday, March 29 from 11:00 a.m. to 12:00 p.m. ET. The event will highlight the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
The U.S. Securities and Exchange Commission’s Office of Municipal Securities today announced that it updated its Registration of Municipal Advisors Frequently Asked Questions webpage to add a section, entitled Completion of Form MA, Form MA-I, and Form…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Animoca’s Yat Siu Says Crypto Is Becoming A ‘Safety Net’ Amid Banking Crisis
The chairman of Asia’s largest blockchain investor thinks volatile cryptocurrencies are a relatively safe investment as the traditional financial world is rocked by the Credit Suisse turmoil and the failure of a string of U.S. banks.
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SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw
SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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