Serving Investors and Advisors Nationwide
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…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
August 2022 Ponzi Scheme Roundup
From Kathy Bazoian Phelps’ Ponzi Scheme Blog – a summary of activity reported for August 2022 in the Ponzi scheme space. The reported stories reflect at least 4 new Ponzi schemes worldwide, 1 guilty plea, more than 71 years of prison sentences, and an average age of approximately 51 for the alleged Ponzi schemers.
http://theponzibook.blogspot.com/2022/08/august-2022-ponzi-scheme-roundup.html
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https://seclaw.blogspot.com/2022/09/august-2022-ponzi-scheme-roundup.html
How Does A Recession Affect Me?
Are we officially in a recession? How will a recession affect me? Most importantly, how can I prepare for a recession, personally, and as an investor?
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From Kathy Bazoian Phelps’ Ponzi Scheme Blog – a summary of activity reported for August 2022 in the Ponzi scheme space. The reported stories reflect at least 4 new Ponzi schemes worldwide, 1 guilty plea, more than 71 years of prison sentences, and an average age of approximately 51 for the alleged Ponzi schemers.
SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance’s Disclosure Review Program (DRP). The DRP has long had offices to…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/09/sec-division-of-corporation-finance-to.html
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance’s Disclosure Review Program (DRP). The DRP has long had offices to…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Adopts JOBS Act Inflation Adjustments
The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make inflation adjustments to certain JOBS Act rules at…
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-adopts-jobs-act-inflation.html
The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make inflation adjustments to certain JOBS Act rules at…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest
The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/09/sec-charges-perceptive-advisors-for.html
Writing Calls And Buying H&R Block Now For Dividend Tomorrow
H&R Block (HRB) has been a stellar performer in the Forbes Dividend Investor portfolio since January and it trades ex-dividend tomorrow. If you execute this trade before the close you’ll earn the $0.29 per share dividend.
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