Category Archives: Investor

SEC Charges 10 Microcap Companies with Securities Offering Registration Violations


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SEC Charges 10 Microcap Companies with Securities Offering Registration Violations
The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under…

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SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts


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SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts
The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a…

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#finralawyer

Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges


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Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges
The Securities and Exchange Commission today announced that Amsterdam-based Koninklijke Philips N.V. will pay more than $62 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) with respect to conduct related to its sales…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures


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SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures
The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. To settle the…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud


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SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud
The Securities and Exchange Commission today charged Brett M. Bartlett, his father-in-law Scott A. Miller, and their companies for fraudulent securities offerings that raised at least $20.5 million, some of which Bartlett and Miller misused for personal…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Adopts Amendments to Modernize Share Repurchase Disclosure


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SEC Adopts Amendments to Modernize Share Repurchase Disclosure
The Securities and Exchange Commission today adopted amendments to modernize the disclosure requirements relating to repurchases of an issuer’s equity securities, including requiring issuers to provide daily repurchase activity on a quarterly or semi-…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Announces New Members of Small Business Capital Formation Advisory Committee


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SEC Announces New Members of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms to fill vacancies arising primarily from the expiration of prior members’…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Wrong on Crypto


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SEC Wrong on Crypto
He might be right.
Crypto lawyer and XRP supporter John Deaton says that the U.S. Securities and Exchange Commission (SEC) is moving in the wrong regulatory direction at the expense of retail investors
https://nam12.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.google.com%2Furl%3Frct%3Dj%26sa%3Dt%26url%3Dhttps%3A%2F%2Fdailyhodl.com%2F2023%2F05%2F05%2Fpro-xrp-lawyer-says-us-moving-backwards-on-regulatory-clarity-argues-sec-has-failed-to-protect-investors%2F%26ct%3Dga%26cd%3DCAEYASoTNzE3NTE4MDI3NzEzMTA1MjQzMTIaM2ViYjUzMWU4ZmQ5YjhlODpjb206ZW46VVM%26usg%3DAOvVaw0jZKW4SAyQ-M5fbd8g0Ccg&data=05%7C01%7Cmja%40sallahlaw.com%7Ccc7ccf9dc1d24ea59e7b08db4e3370bc%7C7541d8e217dc45fb9ac20d274654dbda%7C0%7C0%7C638189755107101851%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=wD4%2Fm7CZd7NljFFvM5kXhqYr16X0GPvjPHfAWpYTa%2Bw%3D&reserved=0
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https://seclaw.blogspot.com/2023/05/sec-wrong-on-crypto.html