SEC
SEC Charges Blockchain Services Company with Conducting Unregistered Initial Coin Offering
In May, the U.S. Securities and Exchange Commission (SEC) charged blockchain services company BitClave PTE Ltd. (BitClave) for an unregistered...
Investment Adviser to Pay SEC $30 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its fraud charges against investment adviser...
SEC Charges International Insurance Company with Making False Loss Reserve Disclosures
On June 17, the U.S. Securities and Exchange Commission (SEC) charged international insurance company AmTrust Financial Services, Inc. (AmTrust) and...
Dermatology Product Manufacturer to Pay SEC $37 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its charges against dermatology product manufacturer...
Department of Labor Rules Dodd-Frank Whistleblower Protections Do Not Cover Complaints about Theoretical Violations
On June 18, the U.S. Department of Labor Administrative Review Board (ARB) ruled that an employee’s complaint about theoretical violations...
President Obama, Senator Warren, Others Commemorate 10th Anniversary of Dodd-Frank Act
The most important and sweeping financial reform law since the Great Depression, the Dodd-Frank Act, marked its tenth anniversary on...
Whistleblower Receives $3.8 Million SEC Whistleblower Award
On July 14, the U.S. Securities and Exchange Commission (SEC) announced that it awarded a whistleblower $3.8 million. According to...
SEC Posts Notice of Covered Action Regarding Case Against Aequitas
On June 30, the U.S. Securities and Exchange Commission (SEC) issued a Notice of Covered Action regarding the recent approximately...
SEC Posts Notice of Covered Action Regarding Penny Stock Scalping Case
On June 30, the U.S. Securities and Exchange Commission (SEC) posted a Notice of Covered Action regarding action against Florida-based...
Michael Rothenberg, Venture Capitalist Whose Fraud was Originally Exposed by an SEC Whistleblower, Now Facing Criminal Charges
On June 26, the U.S. Attorney's Office for the Northern District of California announced multiple criminal charges against venture capitalist...
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