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SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors

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…

Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers

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…

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Game-Changing Updates to H-1B and EAD Rules Set to Reshape Immigration Policies

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…

Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures

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…

Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions

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…

SEC Charges Former Public Company Officer and His Sister-In-Law with Insider Trading

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…

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Brian L. Miller Named Partner at Littman Krooks LLP

Rye Brook, New York – Littman Krooks LLP is pleased to announce that Brian L. Miller, CELA®, has been named a partner at the firm.…

SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk

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,…

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Boatman Ricci Welcomes Two New Attorneys to Strengthen Legal Team

Naples, Florida – Boatman Ricci is pleased to announce the addition of two accomplished attorneys, Neely Brown and Tylan Ricketts, to its growing legal team.…

Morris Bart Law Firm Files Lawsuit in Response to New Orleans New Year’s Day Attack

New Orleans, Louisiana – The Morris Bart law firm has announced the filing of a lawsuit on behalf of seven victims impacted by the tragic…

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