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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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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 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…
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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.
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…
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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,…
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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.
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…
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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.