The Securities and Exchange Commission today announced an award of approximately $1.5 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. “The whistleblower alerted the SEC to previously unknown… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Tag: Securities Law
SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
The Securities and Exchange Commission today charged George Heckler, of Charleston, South Carolina, for operating a decade-long investment adviser fraud through two private hedge funds, Cassatt Short Term Trading Fund LP (Cassatt) and CV Special… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
I.R.S. Pushes Back Start of 2020 Tax Filing Season
I.R.S. Pushes Back Start of 2020 Tax Filing Season https://www.nytimes.com/2021/01/22/your-money/irs-tax-season.html—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Don’t Worry, The Odds Are In Your Favor Says This Value Investor
Don’t Worry, The Odds Are In Your Favor Says This Value Investor Patience, discipline and courage Buckingham noted that it just isn’t a good time to be holding cash right now. #securitieslaw #seclaw #securitieslawyer https://www.forbes.com/sites/jacobwolinsky/2021/03/07/dont-worry-the-odds-are-in-your-favor-says-this-value-investor/
SEC Division of Examinations Announces 2021 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
The Securities and Exchange Commission today announced the creation of a Climate and ESG Task Force in the Division of Enforcement. The task force will be led by Kelly L. Gibson, the Acting Deputy Director of Enforcement, who will oversee a… Read the Full Press Release Have a securities law […]
Robinhood to allow ‘limited’ buys of GameStop, AMC, others on Friday
Online trading app Robinhood said late Thursday that starting tomorrow it will allow “limited buys” of securities such as GameStop Corp. undefined, AMC…
3M, DuPont And J&J: A Fresh Take On 3 Old-Time Names
3M, DuPont And J&J: A Fresh Take On 3 Old-Time Names Welcome to FOMO — the Fear of Missing Out, cautions Chuck Carlson, a leading expert on dividend reinvestment plans, the editor of DRIP Investor and a contributor to MoneyShow.com. #securitieslawyer #securitieslaw #securitiesattorney https://www.forbes.com/sites/moneyshow/2021/03/05/3m-dupont-and-jj-a-fresh-take-on-3-old-time-names/
SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
The Securities and Exchange Commission today charged AT&T, Inc. with repeatedly violating Regulation FD, and three of its Investor Relations executives with aiding and abetting AT&T’s violations, by selectively disclosing material nonpublic… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
Dow Plunges Nearly 700 Points After Powell’s Speech Fails To Ease Investor Worries
Dow Plunges Nearly 700 Points After Powell’s Speech Fails To Ease Investor Worries The Fed chair said recently rising bond yields were “notable” and caught his attention–a worrying sign for investors concerned over sky-high valuations. #securitieslawyer #securitiesattorney https://www.forbes.com/sites/jonathanponciano/2021/03/04/dow-plunges-nearly-700-points-after-powells-speech-fails-to-ease-investor-worries/
