December 15, 2019
Washington D.C., Dec. 10, 2019 — The Securities and Exchange Commission today announced that it has obtained a temporary restraining order and asset freeze against a California solar panel company …
Continue reading “SEC Obtains Asset Freeze to Halt Alleged Offering Fraud”
December 15, 2019
Washington D.C., Dec. 9, 2019— The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of improper handling of “pre-released” American …
Continue reading “Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs”
December 14, 2019
Washington D.C., Dec. 9, 2019 — The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen Zarsky, all of whom …
Continue reading “Former Congressman and Two Others Settle Insider Trading Charges”
December 14, 2019
Washington D.C., Dec. 9, 2019— SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter. A Colorado stock promoter and two of his companies agreed to pay $4.2 million …
Continue reading “SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter”
December 5, 2019
Washington D.C., Dec. 3, 2019 — The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the agency’s Office of …
Continue reading “Press Release SEC Names John Vanosdall as Deputy Chief Accountant”
December 5, 2019
Washington D.C., Dec. 2, 2019 — The Securities and Exchange Commission today announced that Kristina Littman has been named Chief of the Division of Enforcement’s Cyber Unit, a national, specialized …
Continue reading “SEC: Kristina Littman Named Chief of the Cyber Unit”
November 30, 2019
Washington D.C., Nov. 26, 2019 — The Securities and Exchange Commission today revokes registration of New York-based investment adviser International Investment Group LLC (IIG), which the Commission recently charged with …
Continue reading “SEC Revokes Registration of Adviser Engaged in $60 Million Fraud”
November 29, 2019
Washington D.C., Nov. 26, 2019 — The Securities and Exchange Commission today charged Georgia-based biotech company MiMedx Group Inc. and three former top executives with defrauding investors by misstating the …
Continue reading “SEC Charges Biotech Company and Executives With Accounting Fraud”
November 29, 2019
Washington D.C., Nov. 25, 2019 — The Securities and Exchange Commission has voted to propose a new rule designed to modernize regulation of the use of derivatives by registered investment …
November 28, 2019
The Securities and Exchange Commission today amended a complaint to charge four former executives of Outcome Health, a private healthcare advertising company, with fraud in raising nearly half a billion dollars by falsely …
Continue reading “SEC Charges Former Top Executives of Outcome Health with Fraud”
