The Commission prevailed on a motion for summary judgment in a manipulation case. The agency also filed a new case tied to trading based on in follow-on transactions. It also resolved six pending enforcement cases. Acting Chairman Uyeda announced the
SEC Actions
The SEC Actions blog, published by Thomas O. Gorman, focuses on enforcement actions and litigation related to securities regulation. It covers topics such as investment fraud, Ponzi schemes, financial fraud, account takeovers, false statements, and settlement of SEC cases. The blog also discusses specific types of fraud involving acquisitions of brand name entities and investment schemes. It provides updates on new SEC enforcement filings and settlements, highlighting patterns and risks in securities litigation and regulatory compliance.
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Final Judgments Were Entered in Five Commission Cases
This is the week of the “final Judgement” – that is, all of the litigation releases announced this week were for a final judgment entered in an enforcement action except for one case which was discussed in an earlier post.…
Trading in “Follow on Transactions” — Millions in Illegal Profits
Inside information is something that many tend to think of only in the classic insider trading model — participants in a merger or other non-public corporate transaction trading in the company shares prior to the deal announcement. Most do not…
p>This Week In Securities Litigation (Week of February 3, 2025)
This Week In Securities Litigation (Week of February 3, 2025) The Commission filed three new cases last week. Two centered on offering frauds while a third centered on a remote trader in an insider trading case. Be careful, be safe…
Gary Gensler: Providing A Gift Beyond Definition?
Year after year the SEC appears to be successful in regulating and governing the U.S. securities markets. Those markets are immense, complex and most difficult to regulate. Yet year after year the Commission has overall been effective in safeguarding investors…
Acting Chair of SEC Appoints Five as Acting Senior Staff
Five individuals were appointed to serve in an acting capacity as senior staff of the Commission. They are: Jeffrey Finnell, Acting General Counsel Robert Fisher, Acting Director of the Division of Economics and Risk Analysis Kathleen Hutchinson, Acting Director of…
This Week In Securities Litigation (Week of January 27, 2025)
Last week the Commission filed a series of new enforcement actions. They centered on insider trading, the sale of unregistered securities, offering frauds, selling away and improper accounting. Be careful, be safe this week and be warm SEC Appointment: Mark…
This Week In Securities Litigation (Week of January 20, 2025)
This Week In Securities Litigation (Week of January 20, 2025) Over the last week the Commission filed a variety of cases. Those included insider trading, offering fraud actions, sham transactions, false statements, unregistered broker cases, misappropriation, improper accounting, ineffective controls,…
Blockchain Engineer Settles Charges that He Executed a “Rug Pull”
Crypto assets at times appear to be an everchanging landscape where a new coin or asset appeari almost every moment. As fast as those new coins or assets appear, there also seems to be a new person who knows how…
Musk Violates Section 13(d)
Provisions such as Section 13(d) were added to the Exchange Act to provide the markets and investors with notice of those who have significant holdings of a security. The Section requires that those who acquire 5% or more of a…