TOP STORIES
RECENT
Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting as unregistered brokers in selling membership interests in LLCs that… Full report at: Read More
Read More
Bills Moving Through the U.S. Congress
MORE NEWS
INTERESTING FINDS
Tyler, Texas – Roberts & Roberts, a personal injury law firm known for its commitment to community safety, is once again offering free rides home…
A Utah man was sentenced to an aggregate of six years in prison for tax evasion and forcibly retaking a house and land that had…
New York City, New York – Levy Goldenberg is proud to announce a significant appellate victory in the First Department of the Supreme Court of…
An indictment was unsealed today charging a former U.S. citizen with engaging in an insider trading scheme involving the stock of Humanigen Inc., a publicly…
The Justice Department submitted to the Federal Register yesterday a Notice of Proposed Rulemaking (NPRM) to update and clarify regulations issued under the Foreign Agents…
The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported “algorithmic stablecoin”…
The Securities and Exchange Commission today adopted amendments to Rule 15c3-3 (the customer protection rule) to require certain broker-dealers to increase the frequency with which…
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for…
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures…
The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious…