The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make inflation adjustments to certain JOBS Act rules at… Full report at: Read More

The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC disclosures to reflect the status of… Full report at: Read More

SEC Charges “Money Magnet” Promoter and Company with Offering Fraud Totaling Approximately $300,000 Read the full report at Read More

SEC Charges Former Vice President of Medical Device Company with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs… Full report at: Read More

The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has returned $678,681 plus… Full report at: Read More

SEC Charges Former Rail Freight Trader with Accounting Fraud Read the full report at Read More

SEC Charges Archer Capital Management Group, the Archer Growth Fund and Related Entities with Defrauding Investors Read the full report at Read More

SEC Files Subpoena Enforcement Action Against Two Principals of Broadway Musical Fund Read the full report at Read More

SEC Files Subpoena Enforcement Action Against South Florida Man, His Sister and Their Companies Read the full report at Read More