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SEC Charges Advisory Firm WisdomTree with Failing to Adhere to Its Own Investment Criteria For ESG-Marketed Funds
The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree Asset Management Inc. with making misstatements and for compliance failures relating to the execution of an investment strategy that was marketed as… Full report at: Read More
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The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. If adopted, the changes would…
The Securities and Exchange Commission today adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days…
Defendant Kirchner Misappropriated More Than $28 Million of Investor Proceeds to Fund His Lavish Lifestyle Read the full report at Read More
SEC Sues Texas Company and Two Executives to Halt $34 Million Scheme Read the full report at Read More
Statement from U.S. Commerce Secretary Gina Raimondo on Air India’s Purchase of Boeing Aircraft [email protected] Tue, 02/14/2023 – 16:52 FOR IMMEDIATE RELEASE Tuesday, February 14,…
David W. Magann Social Security Disability Tampa, FL (Law Firm Newswire) February 14, 2023 – The Social Security Administration (SSA) announced a cost-of-living adjustment (COLA)…
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal…
Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12,…
The Securities and Exchange Commission today charged Christopher S. Kirchner, the co-founder and former CEO of Slync, Inc., a privately-held Texas-based software company, with fraudulently…
Michael S. Flynn was sentenced on Feb. 10 in Bridgeport, Connecticut to fifteen months’ imprisonment and restitution of $1,062,155 for his participation in bid-rigging and…