Category: SEC
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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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SEC Issues Staff Report on Public Company Disclosure
The Securities and Exchange Commission today issued a staff report to Congress on its disclosure rules for U.S. public companies, as part of agency’s ongoing efforts to modernize and simplify...
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U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight
The Securities and Exchange Commission announced Tuesday that its senior staff met last week with counterparts at the Ontario Securities Commission (OSC) to discuss ways to further strengthen cooperation regarding...