Serving Investors and Advisors Nationwide
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. The… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who provided information and assistance that significantly contributed to a successful enforcement action. The whistleblower provided new… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month. Thomas Smith and Maurya Keating, who have served as Acting Co-Directors,… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today voted to approve the 2023 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. “The PCAOB plays a critical role to ensure that investors can trust a… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that General Counsel Dan Berkovitz will depart the agency, effective Jan. 31, 2023. Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel, effective upon Mr… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. The report details how entrepreneurs and investors are building companies together,… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was the CEO and co-founder. Investigations as to other… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often referred to as buybacks. The… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today voted to propose amendments to better prepare open-end funds for stressed conditions and to mitigate dilution of shareholders’ interests. The rule and form amendments would enhance how funds manage their… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Jebara Igbara, the founder of Halal Capital LLC, in connection with a more than $8 million scheme that targeted investors from the New York metropolitan area’s Muslim community. According to the SEC’s… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag Archives: www.seclaw.com
ABB Settles SEC Charges that it Engaged in Bribery Scheme in South Africa
SEC Awards More Than $20 Million to Whistleblower
Antonia Apps Named Director of New York Regional Office
SEC Approves the 2023 Public Company Accounting Oversight Board Budget and Accounting Support Fee
SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General Counsel
SEC Small Business Advocacy Office Releases Annual Report on Capital Raising
SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX
SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization
SEC Proposes Enhancements to Open-End Fund Liquidity Framework
SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme that Targeted Muslim Community