Securities Law

Adrian J. Kawuba, Civ. Action

November 14, 2022

SEC Charges Massachusetts Resident with Conducting $2 Million Fraudulent Investment Offering Read the full report at Read More

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Brian Wong

November 10, 2022

SEC Announces Additional Charges in Scheme to Trade Ahead of Pharma Tender Offer Read the full report at Read More

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SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme

November 10, 2022

The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. The SEC’s complaint, filed in the… Full report at: Read More

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SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme

November 10, 2022

The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. The SEC’s complaint, filed in the… Full report at: Read More

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Infinity Q Diversified Alpha Fund

November 10, 2022

SEC Seeks Special Master to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Mutual Fund Read the full report at Read More

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Matthew O. Clason

November 9, 2022

Court Enters Final Judgment Against Connecticut Investment Adviser Charged with Stealing Client Funds Read the full report at Read More

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LBRY, Inc.

November 7, 2022

SEC Granted Summary Judgment Against New Hampshire Issuer of Crypto Asset Securities for Registration Violations Read the full report at Read More

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SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role

November 7, 2022

The Securities and Exchange Commission today announced that Chief of Staff Prashant Yerramalli will leave the agency, effective Dec. 31, 2022. Amanda Fischer, currently Senior Counselor to Chair Gary Gensler, will be appointed Chief of Staff, effective… Full report at: Read More

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Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations

November 7, 2022

The Securities and Exchange Commission today named Keith E. Cassidy and Natasha Vij Greiner as Deputy Directors of the Division of Examinations. “Our examinations function plays an essential role as the eyes and ears on the ground for the Commission,”… Full report at: Read More

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Douver Torres Braga, Joff Paradise, and Keleionalani Akana Taylor, Jonathan Tetreault

November 4, 2022

Trade Coin Club Raised Money from More Than 100,000 Investors Worldwide Read the full report at Read More

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