The Law of the Financial Markets from Top Securities Lawyers
Tuesday, April 23, 2024
SEO Title: SEC Charges Northern Star SPAC for Misleading IPO Disclosures Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken action against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), for alleged material misrepresentations in its initial public offering (IPO) disclosures dating back […]
The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and the firm’s former partner, Claire P. Shaughnessy, for misleading their client, the Pennsylvania… SEC Press Release
Washington D.C., Jan. 12, 2024 — The SEC has taken legal action against investment banking giant Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi. The charges stem from a multi-year fraud scheme involving the improper disclosure of confidential information related to significant stock […]
Washington D.C., Jan. 3, 2024 — The SEC has recently secured an asset freeze and other urgent measures in response to a suspected $93 million real estate investment scam. The main figure in this scandal is Rishi Kapoor, a Miami-based property developer. This case also implicates Location Ventures LLC, Urbin […]
Understanding the Whistleblowers The Securities and Exchange Commission (SEC) has recently made headlines by awarding over $28 million to seven individuals whose crucial information and assistance played pivotal roles in the successful enforcement action taken by the SEC. In this article, we will delve into the details of these whistleblowers’ […]
By: Mark J. Astarita, Esq. In the article linked below, the authors believe that the landscape of SEC enforcement is changing. According to this article, entities and individuals facing SEC actions are winning, or not losing as much. Of course, the examples in the article are purely anecdotal, and there […]
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The rule changes… SEC Press Release
On Friday, the Securities and Exchange Commission asked a federal appeals court to reconsider a ruling that it said prevents the agency from clawing back ill-gotten gains in cases in which laws were violated but no victims were harmed. But that is the point of the Supreme Court decision in […]
Washington D.C., Dec. 14, 2023- The SEC has charged Titanium Capital LLC, a Florida-based firm, and its founder, Henry Abdo, with operating a multi-million dollar Ponzi scheme. Unraveling the Deceptive Web of Titanium Capital Titanium Capital, spearheaded by Henry Abdo, is accused of raising at least $5.3 million from over […]
SEC Small Business Capital Formation Advisory Committee Meeting Agenda The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee has announced the agenda for its upcoming meeting on Wednesday, Nov. 29. The meeting will delve into key topics concerning small businesses and investors. Morning Session: Accredited Investor Definition Discussion […]
