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The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124 million through two unregistered fraudulent offerings of securities involving a digital… 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 Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. “Over the years, our… 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 Securities and Exchange Commission today announced an award of more than $3.5 million to a whistleblower who provided critical information that significantly contributed to the success of two SEC enforcement actions. … 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 Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. ET. The meeting is open to the public via live webcast, and will be archived on the committee’s website for later… 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 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 The Finra alert noted that following a White House Executive Order, the Department of Treasury’s Office of Foreign Assets Control (OFAC) barred U.S. financial institutions from processing transactions to five major Russian financial institutions, subsidiaries or entities acting on their behalf, as well as named “Russian elites close to Russian President Vladimir Putin.” The Securities and Exchange Commission today announced that it has voted to propose changes that would provide greater transparency to investors and regulators by increasing the public availability of short sale related data. New Exchange Act Rule 13f-2… 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 Securities and Exchange Commission today charged James Velissaris, the former Chief Investment Officer and founder of Infinity Q Capital Management, with overvaluing assets by more than $1 billion while pocketing tens of millions of dollars in fees… 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 Securities and Exchange Commission today announced that Rita M. Sampson has been named Director of the agency’s Office of Equal Employment Opportunity (OEEO). “Rita brings a wealth of experience to the Office of Equal Employment… 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 Securities and Exchange Commission today announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries – known as Form CRS – to their retail… 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 lawyer
SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos
SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
SEC Awards More Than $3.5 Million to Whistleblower
SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest
FINRA Reminds Members About Processing Transactions for Russian Elites
AdvisorHub is reporting that FINRA issued an alert on Friday warning about the compliance obligations triggered due to sanctions the U.S. government has imposed on individuals and entities in response to Russia’s invasion of Ukraine.
More details are available at https://www.advisorhub.com/broker-dealers-must-steer-clear-of-putins-pals-finra-alert/
SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments
SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud
Rita Sampson Named Director of Office of Equal Employment Opportunity
SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations