Serving Investors and Advisors Nationwide
The Securities and Exchange Commission today announced that Erin E. Schneider, the Director of the San Francisco Regional Office since 2019, is leaving the agency after more than 17 years of service. Monique C. Winkler will become the office’s Acting… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. … Have a securities law question? Call New York Securities Lawyers at 212-509-6544. — Mark J. Astarita, Esq. Phone: (212) 509-6544 mja@sallahlaw.com New Jersey Office: Florida Office: CONFIDENTIALITY: The information contained in this email is intended by for receipt by the named individual or entity to which it is directed. This email may contain information that is privileged, confidential and/or exempt from disclosure under applicable law. It may not be copied or forwarded to any unauthorized persons. If you have received this electronic transmission in error, please delete it and notify us of the error by reply email. Thank you. *Mr. Astarita is admitted to practice law in New York and New Jersey. On March 29, 2022 at 7 p.m. ET the Securities and Exchange Commission’s New York Regional Office, in coordination with Alpha Kappa Alpha Sorority Inc., Tau Omega Chapter, will celebrate women’s history month with a free investor education panel… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka, with misleading investors in the sale of $20 million of municipal bonds in order to pay its… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys One of the very first and most high-profile cryptocurrencies launched, Bitcoin is also the most well-known of this virtual money. Bitcoin first emerged in 2009 and its creator is allegedly called Satoshi Nakamoto, though several theories exist as to Nakamoto’s real identity, according to Business Insider. A bitcoin is essentially a digital computer file that is stored in something called a digital wallet, which can be accessed by software and apps. Visit https://www.livescience.com/bitcoin-definition for more on Bitcoin, including Why is Bitcoin Used? How are Bitcoins Produced? Is Bitcoin Safe? Problems with Bitcoin. The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. The whistleblower, who days later shared the same information with the SEC and was… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys Bloomberg is reporting that the SEC is investigating nonfungible token (NFT) creators and marketplaces for securities violations, according to a report from Bloomberg. Anonymous sources in the report claims that the SEC is investigating whether “certain nonfungible tokens […] are being utilized to raise money like traditional securities.” According to Bloomberg, over the past several months, attorneys in the SEC’s enforcement unit have sent subpoenas demanding information about the token offerings. As part of its review, the SEC is seeking information on so-called fractional NFTs, which involve breaking down the assets into units that can be easily bought and sold, said the people, who asked not to be named as the probe hasn’t been disclosed publicly. The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys
Tag Archives: securities law
San Francisco Regional Director Erin E. Schneider to Leave Agency
SEC Awards $1.25 Million to Whistleblower
Sallah Astarita & Cox, LLC 11 Broadway, Suite 615
New York, New York 10004
www.sallahlaw.com
www.SECLaw.com60 Pompton Avenue
Verona, New Jersey 07044
Phone: (973) 559-5566
3010 N. Military Trail
Boca Raton, Florida 33431
Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar
SEC Charges Texas School District and its Former CFO with Fraud in $20 Million Bond Sale
Register for the SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
Bitcoin: Definition, origin and risks
Bitcoin is a virtual ‘cryptocurrency’ traded much like real money.
Bitcoin is a virtual currency known as a ‘cryptocurrency that can be traded between buyers and sellers much like “real” money is.
SEC Awards Approximately $14 Million to Whistleblower
SEC Investigating NFT Creators and Marketplaces
———–
Former SEC Senior Attorneys and Broker-Dealer attorneys at Sallah Astarita & Cox represent crypto investors and promoters across the country. For more information, call them at 212-509-6544.
City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest