SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading
The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw
https://seclaw.blogspot.com/2022/09/sec-charges-cheetah-mobiles-ceo-and-its.html
Meet The Investor Willing To Put His Money Into Ponzi Schemes. His Fund Is Up 593%
Harris Kupperman’s Praetorian Capital seeks out hysteria in every corner of the market, from bitcoin to natural gas.
#securitieslawyer
The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of…
Dow Falls 400 Points As Fed Readies Another Interest Rate Hike—Fueling Extreme Investor Bearishness
“The biggest and growing downside risk for the market is increasing recession risk as the Fed aggressively tightens into a slowing economy,” says one expert.
#securitiesattorney #securitieslawyer #seclaw
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitieslawyer
https://seclaw.blogspot.com/2022/09/morgan-stanley-smith-barney-to-pay-35.html
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…
The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain…
SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC disclosures to reflect the status of…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitieslawyer
https://seclaw.blogspot.com/2022/09/sec-charges-two-advisory-firms-for.html
SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney
https://seclaw.blogspot.com/2022/09/sec-charges-vmware-with-misleading.html
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The…
