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Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag Archives: securities law
Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21
SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine
Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX
SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers
SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law