The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for recovery of erroneously awarded compensation, and staff of the Commission released a memo that contains additional analyses and data that… Read the Full Press Release Have a securities law question? Call New York […]
Month: June 2022
SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. The two clients, Sequential Brands Group, Inc. and Longfin Corp., previously were charged by the… Read the Full Press Release Have a securities law question? Call New York […]
SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCT
The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels, the first involving a… Read the Full Press Release Have a securities law question? Call New […]
SEC Updates Electronic Filing Requirements
The Securities and Exchange Commission today announced that it adopted amendments to require certain forms that currently are permitted to be filed or submitted in paper format to be filed or submitted electronically. The amendments also amend certain… Read the Full Press Release Have a securities law question? Call New […]
SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals
The Securities and Exchange Commission today charged the town of Sterlington, Louisiana and its former mayor, Vern A. Breland, as well as the town’s unregistered municipal advisor, Twin Spires Financial LLC, and its owner, Aaron B. Fletcher, with… Read the Full Press Release Have a securities law question? Call New […]
SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act
The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA)… Read the Full Press Release Have a securities law question? Call New York […]
SEC Launches Game Show-Themed Public Service Campaign
The Securities and Exchange Commission’s Office of Investor Education and Advocacy today unveiled a game show-themed public service campaign to help investors make informed investment decisions and avoid fraud. Recognizing that sometimes… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Announces Eight New Investor Advisory Committee Members
The Securities and Exchange Commission today announced eight new members to fill all vacancies on its Investor Advisory Committee. The new members join 15 current committee members. The committee, established under the Dodd-Frank Wall Street Reform… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits
The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board, Marc S. Schessel, with making false and misleading statements about SCWorx’s plans to distribute COVID-19… Read the Full Press Release Have a securities law question? Call New York […]
