Securities Law

SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct

June 7, 2022

The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from… Full report at: Read More

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SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9

June 6, 2022

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels, the first involving a… Full report at: Read More

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SEC Updates Electronic Filing Requirements

June 3, 2022

The Securities and Exchange Commission today announced that it adopted amendments to require certain forms that currently are permitted to be filed or submitted in paper format to be filed or submitted electronically. The amendments also amend certain… Full report at: Read More

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Jennifer Campbell

June 2, 2022

SEC Charges Former CCO of Investment Adviser Who Misappropriated Funds Read the full report at Read More

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SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act

June 2, 2022

The Securities and Exchange Commission today announced that Tenaris, a Luxembourg-based global manufacturer and supplier of steel pipe products, will pay more than $78 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA)… Full report at: Read More

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Robert Samuel Shumake, Jr., et al

June 2, 2022

SEC Obtains Final Judgments Against Crowdfunding Issuer and Its CEO Read the full report at Read More

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Anthony Sirotka

June 2, 2022

SEC Charges Former Executive of Network Infrastructure Company with Accounting Fraud Read the full report at Read More

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SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals

June 2, 2022

The Securities and Exchange Commission today charged the town of Sterlington, Louisiana and its former mayor, Vern A. Breland, as well as the town’s unregistered municipal advisor, Twin Spires Financial LLC, and its owner, Aaron B. Fletcher, with… Full report at: Read More

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Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla

June 1, 2022

SEC Obtains Final Judgment Against Tech Employee Charged with Insider Trading Read the full report at Read More

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John Henderson, et al.

June 1, 2022

SEC Obtains Final Judgments Against IIIinois Company and Its President for Affinity Fraud Targeting Christian Investors Read the full report at Read More

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