SEC Names Monique Winkler as Regional Director of San Francisco Office
The Securities and Exchange Commission today announced that Monique C. Winkler has been named Regional Director of the San Francisco Regional Office. Ms. Winkler has served as the office’s Acting Regional Director since March 2022 and as the Associate…
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https://seclaw.blogspot.com/2022/08/sec-names-monique-winkler-as-regional.html
The Securities and Exchange Commission today announced that Monique C. Winkler has been named Regional Director of the San Francisco Regional Office. Ms. Winkler has served as the office’s Acting Regional Director since March 2022 and as the Associate…
SEC Charges Barred Broker and His Company with Defrauding Older Americans
The Securities and Exchange Commission today charged Global Business Development and Consulting Corp. (Global) and its owner, Anthony J. Mastroianni, Jr., in connection with a $1.2 million fraudulent promissory note scheme targeting older Americans.…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/08/sec-charges-barred-broker-and-his.html
Bed Bath & Beyond Falls Over 20% After Disclosure Shows Investor Ryan Cohen Plans To Sell Entire Stake
Analysts warn that after a recent meme-stock rally, Bed Bath & Beyond’s valuation has become further “disconnected” from reality.
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The Securities and Exchange Commission today charged Global Business Development and Consulting Corp. (Global) and its owner, Anthony J. Mastroianni, Jr., in connection with a $1.2 million fraudulent promissory note scheme targeting older Americans.…
SEC Names Nicholas Grippo as Regional Director of Philadelphia Office
The Securities and Exchange Commission today announced that Nicholas P. Grippo has been named Regional Director of the Philadelphia Regional Office, effective September 12, 2022. Mr. Grippo currently serves as Chief of the Criminal Division for the U.S.…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
https://seclaw.blogspot.com/2022/08/sec-names-nicholas-grippo-as-regional.html
The Securities and Exchange Commission today charged Eagle Bancorp, Inc., based in Bethesda, Maryland, and its former Chief Executive Officer and Chairman of the Board, Ronald D. Paul, with negligently making false and misleading statements about related…
The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the…
The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted the opening of the…
