SEA 1934 Rule 15(a)
-
SEC targets Langemeier and LOL for conflicts of interest
Self-styled ‘Millionaire Maker’ fined for breaching fiduciary duties.
-
SEC charges four companies for underreporting Sunburst data breach damage
The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.
-
Cumberland sued by SEC for offering “crypto securities” as unregistered dealer
This marks the first time the SEC has gone after a large OTC crypto market maker for failing to register as a broker-dealer.
-
A jury verdict, an ex-FBI informant, and (off-shore) pattern day trading
A tale with some interesting twists and turns and a colorful character at the center of it all.
-
SEC adopts groundbreaking broker-dealer rule in US Treasury Market
New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.
-
Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.