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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 14 soliciting entities, two impersonators of genuine firms, and four… Full report at: Read More
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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…
February 14, 2023 From OSHA: Read More
SEC Obtains Court Order for Partial Asset Freeze and Other Temporary Relief in Fraud Action Against Microcap Public Company and CEO Read the full report…
February 13, 2023 From OSHA: Read More
February 13, 2023 From OSHA: Read More
Two Amazon marketplace sellers and four of their companies have pleaded guilty to price fixing DVDs and Blu Ray Discs. From the U.S. Department of…