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Securing Integrity: The SEC and DOJ’s Unified Front and Pursuit of Novel Legal Tactics Against...
JD Supra· 2 days agoThe U.S. Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”) have been working increasingly collaboratively to combat unlawful trading practices and ...
SEC to Shutter Office Behind Failed DEBT Box Crypto Lawsuit
CoinDesk via Yahoo Finance· 3 days agoThe Securities and Exchange Commission's Salt Lake City office – notorious in the crypto world for...
Utah’s SEC office is closing after ‘gross abuse of power’ by agency attorneys
The Salt Lake Tribune· 2 days agoAttorneys Michael Welsh and Joseph Watkins resigned this spring, according to court documents in the...
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M Fraud | ThinkAdvisor
ThinkAdvisor· 1 day agoFederal prosecutors have charged a former Florida financial advisor with wire fraud, alleging he...
SEC.gov | Protecting and Respecting Investors: Remarks at Meeting of the SEC Investor Advisory...
U.S. Securities and Exchange Commission· 1 day agoThank you to all IAC members for volunteering your time and energy to the Committee, and thanks also to today’s panelists. An overarching theme to today’s agenda is the prominence of technology ...
Kyle Bass Wins Reversal of SEC Move to Deny Whistleblower Award
Bloomberg Law· 23 hours agoThe SEC acknowledged that activist investor Kyle Bass should have been paid as a whistleblower two years ago, apparently the first time it has overturned a decision to deny ...
SEC.gov | Prepared Remarks before the Investor Advisory Committee
U.S. Securities and Exchange Commission· 1 day agoAs is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. This Investment ...
SEC Enforcement Director Outlines His View of Effective Cooperation | JD Supra
JD Supra· 1 day agoIn February 2024, we published an alert discussing the significant benefits of prompt self-reporting and cooperation during a US Securities and...
Q1 2024 Jiayin Group Inc Earnings Call
Thomson Reuters StreetEvents via Yahoo Finance· 9 hours agofraud lectures with law enforcement departments and collaborated to establish a cooperation mechanism, effectively combating financial gray and black industries as well as ...
Fifth Circuit Overturns SEC Private Funds Rules | JD Supra
JD Supra· 1 day agoOur Investment Funds Team reviews the implications of the Fifth Circuit’s decision to vacate the Securities and Exchange Commission’s Private Funds...
