https://www.finra.org/investors/insights/regulator-imposter-ploys
Scammers posing as securities regulators.
Scammers posing as securities regulators.
https://www.finra.org/investors/insights/regulator-imposter-ploys
#seclaw
https://seclaw.blogspot.com/2023/03/httpswwwfinraorginvestorsinsightsregula.html
SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments
The Securities and Exchange Commission today announced settled charges against Oregon-based freight transportation supply company, The Greenbrier Companies Inc., and its founder and former CEO and Chairman, William A. Furman, for failing to disclose…
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Fee Rate Advisory #3 for Fiscal Year 2023
Fee Rate Advisory #3 for Fiscal Year 2023
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. These adjustments do not directly affect the amount of funding…
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#seclaw
SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
The Securities and Exchange Commission today charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his role in a multiyear scheme to defraud equity investors in FTX, the crypto trading platform started by Singh along with…
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Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12, 2023. Ms. LaMothe served as the Acting Deputy Director for Disclosure…
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SEC Charges Former CEO of Slync in $67 Million Offering Fraud
The Securities and Exchange Commission today charged Christopher S. Kirchner, the co-founder and former CEO of Slync, Inc., a privately-held Texas-based software company, with fraudulently offering and selling more than $67 million of securities to…
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SEC Proposes Revision to Privacy Act Rule
SEC Proposes Revision to Privacy Act Rule
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal law governing the handling of personal information in the federal government. The current…
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Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12, 2023. Ms. LaMothe served as the Acting Deputy Director for Disclosure…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors
SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors
The Securities and Exchange Commission today charged media and entertainment company Ozy Media Inc., its CEO Carlos R. Watson, Jr., its former COO Samir Rao, and its former Chief of Staff Suzee Han with defrauding investors of approximately $50 million…
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