Securities Law

CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko

December 5, 2023

CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko Read the full report at Read More

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SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research

December 5, 2023

The Office of the Investor Advocate of the Securities and Exchange Commission today published its Report on Activities for the Fiscal Year 2023 to Congress. The report highlights the work of the Office during the fiscal year. Notable highlights from the… Full report at: Read More

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SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting

November 30, 2023

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels: Practical Applications for… Full report at: Read More

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SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud

November 29, 2023

The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company ArciTerra Companies LLC and its CEO, Jonathan M. Larmore, for engaging in a multi-year scheme to misappropriate millions of dollars… Full report at: Read More

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SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office

November 29, 2023

The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles Office, effective Dec. 3, 2023. Ms. Zoladz has served as Acting Co-Director since June 2023 and as the Associate Regional… Full report at: Read More

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Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco

November 29, 2023

Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco Read the full report at Read More

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Joseph M. Dupont et al.

November 28, 2023

Joseph M. Dupont et al. Read the full report at Read More

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SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations

November 27, 2023

The Securities and Exchange Commission today adopted Securities Act Rule 192 to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed… Full report at: Read More

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SAExploration Holdings, Inc., et al.

November 22, 2023

SAExploration Holdings, Inc., et al. Read the full report at Read More

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SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process

November 22, 2023

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 29, which will include a discussion of the accredited investor definition and diversity and the… Full report at: Read More

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