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The Securities and Exchange Commission today announced that Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, agreed to pay $3 million to settle charges for making misleading… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme involving a consultant in Guinea. The… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. These adjustments do not directly affect the amount of funding… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), the owners of both companies, and sales staff of Silver Edge Financial with unregistered broker-dealer activity relating to their sales… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced settled charges against Oregon-based freight transportation supply company, The Greenbrier Companies Inc., and its founder and former CEO and Chairman, William A. Furman, for failing to disclose… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his role in a multiyear scheme to defraud equity investors in FTX, the crypto trading platform started by Singh along with… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged media and entertainment company Ozy Media Inc., its CEO Carlos R. Watson, Jr., its former COO Samir Rao, and its former Chief of Staff Suzee Han with defrauding investors of approximately $50 million… 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 March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag Archives: securities lawyer
SEC Charges Software Company Blackbaud Inc. for Misleading Disclosures About Ransomware Attack That Impacted Charitable Donors
SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme
SEC Charges Rio Tinto plc with Bribery Controls Failures
Fee Rate Advisory #3 for Fiscal Year 2023
SEC Charges Silver Edge Financial and Equity Acquisition Company with Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds
Scammers posing as securities regulators.
https://www.finra.org/investors/insights/regulator-imposter-ploys
SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments
SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors
SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting