The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…
Sallah Astarita
Sallah Astarita & Cox, LLC is a boutique law firm with offices in Florida, New Jersey, and New York City, serving clients nationwide. The firm specializes in securities regulatory matters, broker-dealer and investment advisor regulation, white-collar criminal defense, complex commercial litigation, and securities arbitration and litigation. Its attorneys have extensive experience handling investigations, regulatory proceedings, and enforcement actions in federal, state, and administrative courts. The firm represents clients in matters involving SEC and FINRA investigations, securities fraud, insider trading, market manipulation, and other related issues. It also handles white-collar criminal defense cases, including grand jury investigations and federal criminal trials.
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https://sallahlaw.com
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SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or…
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SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled…
SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade…
SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission’s statutory authority and intrudes into matters of state law.The Commission outlined…