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The Securities and Exchange Commission today announced that it will highlight the importance of long-term planning and investor resilience during World Investor Week (WIW) 2022, which takes place October 3-9. Planning for life’s unexpected…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities
The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Audit Firm RSM and Three Senior-Level Employees with Failure to Properly Conduct Client Audits
The Securities and Exchange Commission today charged audit firm RSM US LLP and three senior-level employees with improper professional conduct for failing to properly audit Revolution Lighting Technologies Inc.’s (“Revolution”) financial statements over…
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Tesla AI Day: An Investor’s Perspective
The celebrity CEO of Tesla, Elon Musk, enjoys putting on a show and garnering interest for the company.
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The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. According to the SEC’s complaint, from at…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings
The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Three Rules For Successful Bear Market Investing
Being an investor during bear markets is challenging. Making it through to the rebound requires fortitude. Adhering to three simple rules will enhance your chance of success.
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The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Two Canadian Software Engineers with Insider Trading
The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. According to the SEC’s complaint, from at…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitieslawyer