Serving Investors and Advisors Nationwide
SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. The…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitiesattorney
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. The…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Names Jason J. Burt as Regional Director of the Denver Office
The Securities and Exchange Commission today announced that Jason J. Burt has been named Regional Director of the Denver Office, where he has served as Acting Co-Director since July. “I am pleased that Jason will head the Denver Regional Office after an…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct
The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017 financial statements. Separately, the SEC is…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017 financial statements. Separately, the SEC is…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
When Does Inflation Data Come Out?
When does inflation data come out and how can you make sense of the Consumer Price Index (CPI) as an investor right now?
#securitiesattorney #securitieslawyer
SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities
The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney
The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Victoria’s Secret’s Updated Q3 View Justifies Recent Surge In Its Stock
Last night, Victoria’s Secret (VSCO) unveiled a new strategic growth plan designed to strengthen the company’s core, ignite growth and transform its foundation. The elements of this plan, which VSCO communicated at its Investor Day held earlier today, include increasing market share […]
#securitieslawyer #seclaw #securitiesattorney
New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud
The Securities and Exchange Commission today charged New Jersey-based National Realty Investment Advisors LLC (NRIA) and four of its former executives with running a Ponzi-like scheme that raised approximately $600 million from about 2,000 investors.…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney