The Securities and Exchange Commission today announced awards totaling more than $1.7 million to two whistleblowers in separate proceedings. Both whistleblowers provided Forms TCR to the Commission within 30 days of their first learning of the Form… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
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SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
The Securities and Exchange Commission today announced settled charges against an Oklahoma-based gas exploration and production company, Gulfport Energy Corporation, and its former CEO, Michael G. Moore, for failing to properly disclose as compensation… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Behind the Process: How an Enforcement Action Becomes an Enforcement Action From a regulator’s prospective, FINRA’s head of Enforcement walks you through the process and the possible outcomes. F
SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College
The Securities and Exchange Commission today suspended two former KPMG auditors from practicing before the SEC in connection with settled charges against the two for improper professional conduct during an audit of the now defunct, not-for-profit College… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
Hedge Funds Clash Over Tech Stocks: SEC Filings
Hedge Funds Clash Over Tech Stocks: SEC Filings Many well-known funds have filed their 13Fs within the last week or so, and it seems clear that tech stocks aren’t the be-all, end-all they were last year. Many hedge funds sold or reduced their tech names positions, while others bought and […]
Has Bitcoin Just Gone Mainstream?
Has Bitcoin Just Gone Mainstream? The SEC reports that Tesla has invested $1.5 billion in bitcoin. The decision by figures like Elon Musk or important companies such as Tesla is simply one more step toward the normalization of cryptocurrencies. #securitiesattorney #seclaw #securitieslaw https://www.forbes.com/sites/enriquedans/2021/02/08/has-bitcoin-just-gone-mainstream/
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology | FINRA Unscripted
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology http://feeds.finra.org/~r/FINRACompliancePodcast/~3/T5LFP9NeAAA/encore-augmenting-the-exam-and-risk-monitoring-program-with-data-analytics-and-technology-aZPruHLf #seclaw#securitieslawyer
‘Google Her Name’: Disney Cases Spotlights Danger, Roadmap for Whistleblowers | Daily Business Review
James Sallah of Sallah Astarita & Cox comments on the Disney whistleblower complaint in the Daily Business Review.
Watch Live: GameStop Hearing On Market Manipulation
Watch Live: GameStop Hearing On Market Manipulation The billionaire founders of Robinhood and market-maker Citadel Securities are among those testifying. #securitiesattorney #securitieslawyer #seclaw https://www.forbes.com/sites/jonathanponciano/2021/02/18/watch-live-gamestop-hearing-on-market-manipulation/
SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of almost $3 million. In the first order, the SEC awarded a whistleblower over $2.2 million for providing important, high-quality information… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
