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The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels, the first involving a… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged the town of Sterlington, Louisiana and its former mayor, Vern A. Breland, as well as the town’s unregistered municipal advisor, Twin Spires Financial LLC, and its owner, Aaron B. Fletcher, with… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA)… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board, Marc S. Schessel, with making false and misleading statements about SCWorx’s plans to distribute COVID-19… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc., and its co-founder, Daniel Pipitone, with falsely stating to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Investor Advocate Rick A. Fleming will depart the agency after more than eight years of service. Mr. Fleming was appointed in February 2014 to be the first director of the Office of the Investor… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. According to the US Attorney for the Southern District of New York, and the Commodity Futures Trading Commission, Eddy Alexandre the leader of a purported cryptocurrency and forex trading platform called EminiFX, has been charged with commodities fraud and wire fraud offenses. The CFTC also obtained an order from the Court appointing a receive to collect and manage the assets of EminiFX. Sallah Astarita & Cox, LLC has been contacted by EminiFX investors and is reviewing the matter on their behalf. The goverment alleges that Alexandre solicited more than $59 million in investments from hundreds of individual investors after making false representations in connection with the EminiFX trading platform. The US Attorney’s office issued a press release regarding the arrest. If you were an investor in EminiFX and wish to discuss the matter, please email your contact information to their EminiFX Investor team at info@eminifx-investors.com The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it will… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag Archives: securities law
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9
SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals
SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act
SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits
SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
SEC Charges Charlotte Man With Operating $7 Million Ponzi Scheme
SEC Announces Departure of Investor Advocate Rick A. Fleming
Representation of Investors in EminiFX
SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS