Securities Law
SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes Read the full report at Read More
Continue readingThe Securities and Exchange Commission today issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto asset securities from April 2018 through July 2018 and charged crypto influencer… Full report at: Read More
Continue readingThe Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Full report at: Read More
Continue readingResearchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying… Full report at: Read More
Continue readingSEC Obtains Partial Summary Judgment Against Microcap Issuer and Its CEO Read the full report at Read More
Continue readingThe Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,… Full report at: Read More
Continue readingSEC Charges Promoter and Companies with $4 Million Fraud Read the full report at Read More
Continue readingSEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud Read the full report at Read More
Continue readingSEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering Read the full report at Read More
Continue readingThe Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Full report at: Read More
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