Investors

subpoena
Brokers Compliance Corp Finance Investors

What Happens If I Ignore an SEC Subpoena?

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SEC
The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)

” >SEC Enforcement Division is getting tougher on financial firms, investors, and issuers. When you are served with an SEC subpoena, you know that they are not fun to deal with. But you must deal with it. Even if you don’t know or didn’t commit a […]

Credit Suisse
Brokers Investors News

Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings

Credit Suisse Group AG has agreed to pay nearly $475 million to U.S. and U.K authorities, including nearly $100 million to the Securities and Exchange Commission, for fraudulently misleading investors and violating the Foreign Corrupt Practices Act (FCPA… Read the Full Press Release Have a securities law question? Call Sallah […]

Brokers Corp Finance Investors

EDGAR – The SEC Public Company Database

EDGAR—The Electronic Data Gathering, Analysis, and Retrieval system is a database system used by the SEC that requires all public companies and certain individuals to submit required, time-sensitive documents to the U.S. Securities and Exchange Commission. The database is a trove of information regarding public companies, their financials, quarterly filings, […]

Insider trading
Commentary Investors

Bloomberg Claims – Is the Stock Market Rigged? Most People Think So – We Don’t.

There was an interesting article at Bloomberg.com, which contends that insider trading is everywhere, and no one seems to care.

Having spent the better part of three decades as a securities attorney, and an investor, it seems to me that all three statements are not true. The stock market is not rigged, insider trading is not everywhere, and lots of people care about insider trading.

Investors News Other

Watch Out for this Venmo Scam

You notice a deposit to your Venmo account that you do not know. Shortly thereafter you get a message from someone you do not know, claiming that the deposit was made by accident, and could you please send it back? Being the kind person that you are, you send it […]

Brokers Investors News

Oil and Gas Executives Settle SEC Charges of Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings

The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound Resources LLC, with making material misrepresentations and omissions in connection with more than a dozen unregistered oil and gas securities offerings. Powell and Toth were also charged with […]