The Securities and Exchange Commission today announced that General Counsel Dan Berkovitz will depart the agency, effective Jan. 31, 2023. Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel, effective upon Mr… Full report at: Read More

The Securities and Exchange Commission today charged Caroline Ellison, the former CEO of Alameda Research, and Zixiao (Gary) Wang, the former Chief Technology Officer of FTX Trading Ltd. (FTX), for their roles in a multiyear scheme to defraud equity… Full report at: Read More

SEC Obtains Final Judgments Against Individual and Entity in Multi-Million Dollar International Fraud Scheme Read the full report at Read More

SEC Charges Issuer, CEO, and Former CTO for $2.6 Million Unregistered Crypto Asset Securities Offering Read the full report at Read More

SEC Wins $10.2 Million Judgment Against Unregistered Penny Stock Dealer Read the full report at Read More

The Securities and Exchange Commission announced today that Sarah ten Siethoff has been named Deputy Director of the Division of Investment Management. In addition to serving as Deputy Director, Ms. ten Siethoff will continue serving as the Associate… Full report at: Read More

SEC Charges Florida Media Company and CEO in Offering Fraud Read the full report at Read More

SEC Charges Former Biotech CEO with Fraud, Insider Trading; Research Firm CEO Also Charged in Scheme Read the full report at Read More

The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and insider trading in connection with providing misleading information to shareholders about the progress of a clinical research treatment… Full report at: Read More

SEC Charges Undisclosed Control Person and His Alter-Ego Entity in Penny Stock Scheme Read the full report at Read More