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SEC Crypto 2.0: Acting Chairman Uyeda Announces Formation of New Crypto Task Force
Today SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. Commissioner Hester Peirce will lead the task force. Richard Gabbert, Senior Advisor to the… Full report…
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The Securities and Exchange Commission today charged Connecticut-based investment adviser Navy Capital Green Management, LLC with making misrepresentations related to its anti-money laundering (AML) procedures…
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting…
Ridgewood, New Jersey – The U.S. Department of Homeland Security (DHS) recently issued two critical final rules that promise to transform key aspects of the…
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain…
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in…
The Securities and Exchange Commission today charged Alfred V. Tobia, Jr., the former president and chief investment officer (CIO) of one public company and a…
Rye Brook, New York – Littman Krooks LLP is pleased to announce that Brian L. Miller, CELA®, has been named a partner at the firm.…
The Securities and Exchange Commission today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees who, from December 2020 until May 2023,…
Naples, Florida – Boatman Ricci is pleased to announce the addition of two accomplished attorneys, Neely Brown and Tylan Ricketts, to its growing legal team.…
New Orleans, Louisiana – The Morris Bart law firm has announced the filing of a lawsuit on behalf of seven victims impacted by the tragic…