Category: News
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SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University
The Securities and Exchange Commission today announced it is partnering with the National Center for the Middle Market at The Ohio State University Max M. Fisher College of Business to...
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SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
The Securities and Exchange Commission today charged a Virginia real estate developer with skimming investor funds that were intended for use in purchasing an office building near the site of...
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SEC Charges U.S. Congressman and Others With Insider Trading
The Securities and Exchange Commission today announced the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative for New York’s 27th Congressional District, his son, Cameron Collins,...
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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, four...
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SEC Charges Recidivist in Stock Manipulation Scheme
The Securities and Exchange Commission today charged Howard M. Appel with manipulating the stocks of three microcap companies while on supervised release following his criminal conviction for a prior securities...
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Elizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets
The Securities and Exchange Commission today announced that Elizabeth Baird and Christian Sabella have been named Deputy Directors in the Division of Trading and Markets. Ms. Baird joins the SEC...
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SEC Shuts Down $102 Million Ponzi Scheme
The Securities and Exchange Commission today filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S....
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SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose...
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SEC Charges Three Former Healthcare Executives With Fraud
The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial and other information they provided to a private firm in...
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Donald Trump hails Kalpana Chawla, calls her an American hero
Trump’s remarks came yesterday as he issued a proclamation declaring May as ‘Asian American and Pacific Islander Heritage Month’. The US Congress has also designated the month of May each...