Shopoff Land Fund Investors May Be Able to File FINRA Lawsuits Against Brokerage Firms Broker Negligence?: Private Placement Funds Allegedly Unsuitably Recommended to Customers Private real estate investment companies can be a risky proposition for investors. They are not a good fit
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. These adjustments do not directly affect the amount of funding
Washington D.C., Feb. 28, 2023 —
The Securities and Exchange Commission today charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his role in a multiyear scheme to defraud equity
Washington D.C., Feb. 24, 2023 —
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website.
The
Washington D.C., Feb. 23, 2023 —
The Securities and Exchange Commission today charged Andrew Stiles for insider trading in the stocks of Eastman Kodak Company and Novavax Inc. based on nonpublic information related to
Washington D.C., Feb. 23, 2023 —
The Securities and Exchange Commission today charged media and entertainment company Ozy Media Inc., its CEO Carlos R. Watson, Jr., its former COO Samir Rao, and its former
Control failures enabled former CFO to misappropriate approximately $1.2 million from the SPAC’s operating bank account
Washington D.C., Feb. 22, 2023 —
The Securities and Exchange Commission today announced settled
Washington D.C., Feb. 21, 2023 —
The Securities and Exchange Commission today announced charges against Ensign Peak Advisers Inc., a non-profit entity operated by The Church of Jesus Christ of Latter-day Saints to manage
Washington D.C., Feb. 17, 2023 —
The Securities and Exchange Commission today announced charges against former NBA player Paul Pierce for touting EMAX tokens, crypto asset securities offered and sold by EthereumMax, on social
Washington D.C., Feb. 16, 2023 —
The Securities and Exchange Commission today charged Milan Vinod Patel, of Cumming, Georgia, for spreading more than 100 false rumors about public companies to generate more than $1
Washington D.C., Feb. 16, 2023 —
The Securities and Exchange Commission today charged Singapore-based Terraform Labs PTE Ltd and Do Hyeong Kwon with orchestrating a multi-billion dollar crypto asset securities fraud involving an algorithmic
