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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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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…

NASA Awards 2025 Innovative Technology Concept Studies

NASA selected 15 visionary ideas for its NIAC (NASA Innovative Advanced Concepts) program which develops concepts to transform future missions for the benefit of all.…

Schuelke Law’s Brooks Schuelke Joins Esteemed American Board of Trial Advocates

Austin, Texas – Brooks Schuelke, a founding partner of Schuelke Law Firm, PLLC has achieved a significant professional milestone by being inducted into the American…

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