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The Securities and Exchange Commission today announced that Erin E. Schneider, the Director of the San Francisco Regional Office since 2019, is leaving the agency after more than 17 years of service. Monique C. Winkler will become the office’s Acting… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. … Have a securities law question? Call New York Securities Lawyers at 212-509-6544. — Mark J. Astarita, Esq. Phone: (212) 509-6544 mja@sallahlaw.com New Jersey Office: Florida Office: CONFIDENTIALITY: The information contained in this email is intended by for receipt by the named individual or entity to which it is directed. This email may contain information that is privileged, confidential and/or exempt from disclosure under applicable law. It may not be copied or forwarded to any unauthorized persons. If you have received this electronic transmission in error, please delete it and notify us of the error by reply email. Thank you. *Mr. Astarita is admitted to practice law in New York and New Jersey. The Securities and Exchange Commission today announced that Daniel S. Kahl, Acting Director of the SEC’s Division of Examinations, will depart the agency after more than 21 years of service. Richard R. Best, Director of the SEC’s New York Regional Office… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. On March 29, 2022 at 7 p.m. ET the Securities and Exchange Commission’s New York Regional Office, in coordination with Alpha Kappa Alpha Sorority Inc., Tau Omega Chapter, will celebrate women’s history month with a free investor education panel… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Martha Legg Miller, Director of the Office of the Advocate for Small Business Capital Formation (OASB), is leaving the agency at the end of April. Sebastian Gomez Abero will serve as Acting… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. In the first order, the SEC issued an award of… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced that Dave A. Sanchez will return to the SEC to serve as Director of the Office of Municipal Securities (OMS) effective April 11. Mr. Sanchez most recently advised municipal issuers, broker-dealers… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys
Category Archives: SEC Enforcement
San Francisco Regional Director Erin E. Schneider to Leave Agency
SEC Awards $1.25 Million to Whistleblower
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SEC Announces New Leadership in Examinations Division and New York Regional Office
Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar
Martha Legg Miller, Director of Small Business Advocate Office, to Leave SEC
SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
SEC Charges Call Center Operators in $58 Million Penny Stock Scheme
Dave A. Sanchez to Lead Office of Municipal Securities