SEC Charges Former Investment Adviser with Stealing from Clients Read the full report at Read More

SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures Read the full report at Read More

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… Full report at: Read More

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… Full report at: Read More

The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain… Full report at: Read More

Court Enters Judgments Against Investment Adviser and Its Principals for Defrauding Clients Through Their Mutual Fund Share Class Selection Practices Read the full report at Read More

The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance’s Disclosure Review Program (DRP). The DRP has long had offices to… Full report at: Read More

The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make inflation adjustments to certain JOBS Act rules at… Full report at: Read More

SEC Charges “Money Magnet” Promoter and Company with Offering Fraud Totaling Approximately $300,000 Read the full report at Read More

SEC Charges Former Vice President of Medical Device Company with Insider Trading Read the full report at Read More