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The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that investment advisory firm Weiss Asset Management LP has agreed to pay approximately $6.9 million to settle charges that it violated the federal securities laws when it unlawfully purchased stock… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced the appointment of Richard R. Best as Director of the Division of Examinations, effective immediately. He has served as the Division’s acting director since March 23, 2022. “I’ve valued Rich’s… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. The two clients, Sequential Brands Group, Inc. and Longfin Corp., previously were charged by the… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for recovery of erroneously awarded compensation, and staff of the Commission released a memo that contains additional analyses and data that… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels, the first involving a… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission’s Office of Investor Education and Advocacy today unveiled a game show-themed public service campaign to help investors make informed investment decisions and avoid fraud. Recognizing that sometimes… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Category Archives: SEC Enforcement
SEC Charges Firm and Five Brokers with Violations of Reg BI
SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading Investors
SEC Charges Weiss Asset Management with Short Selling Violations
Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees
Richard R. Best Named Director of Division of Examinations
SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9
SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCT
SEC Launches Game Show-Themed Public Service Campaign