January 26, 2020
Washington D.C., Jan. 23, 2020 — The Securities and Exchange Commission today announced that it will host a March 10 conference to focus on municipal securities, which are predominantly owned …
Continue reading “SEC Announces Conference on Municipal Securities Disclosure”
January 26, 2020
Washington D.C., Jan. 21, 2020 — The Securities and Exchange Commission today announced charges against Guy S. Griffithe and Robert W. Russell, and three companies they controlled, for an alleged …
January 25, 2020
Washington D.C., Jan. 22, 2020 —SEC awards Whistleblowers whose information helped stop fraud. The Securities and Exchange Commission today announced two whistleblower awards in connection with two separate enforcement actions. …
Continue reading “SEC Awards Whistleblowers Whose Information Helped Stop Fraud”
January 25, 2020
Washington D.C., Jan. 23, 2020 — The Securities and Exchange Commission today announced that it has obtained a court order authorizing the distribution of over $63 million to investors in …
January 24, 2020
Washington D.C., Jan. 17, 2020 — The Securities and Exchange Commission charges convicted criminals who conducted fraudulent ICO using a fake identity. SEC today charged convicted criminal Boaz Manor, his …
Continue reading “SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity”
January 24, 2020
While The Industry Spread recently spotlighted some of the opportunities with the burgeoning US cannabis sector, that sector appears fraught with fraud as well. The Securities and Exchange Commission recently …
Continue reading “SEC Warns Investors on Cannabis-Related Schemes”
January 20, 2020
The head of a scandal ridden public accounting oversight group put his best face on the crisis
January 19, 2020
Washington D.C., Jan. 14, 2020 — The Securities and Exchange Commission today announced that it filed an emergency enforcement action and obtained a temporary restraining order and asset freeze against …
January 19, 2020
Washington D.C., Jan. 10, 2020 —The Securities and Exchange Commission today announced that Allen Blume has been named Deputy Chief Financial Officer in the agency’s Office of Financial Management (OFM). …
Continue reading “SEC Names Allen Blume as Deputy Chief Financial Officer”
January 17, 2020
Washington D.C., Jan. 10, 2020 — The Securities and Exchange Commission today announced that Mark D. Reinhold has been named Deputy Director of the agency’s Office of Human Resources (OHR). …
