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SEC Announces Departure of Public Affairs Head Scott Schneider

SEC Announces Departure of Public Affairs Head Scott Schneider

The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public…

SEC Policy Director Corey Klemmer to Step Down

SEC Policy Director Corey Klemmer to Step Down

The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since…

SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition

SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition

The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis…

SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks

SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks

The Securities and Exchange Commission today announced that Paul John McCabe Jr. and his unregistered firm PMAC Consulting LLC have agreed to pay $3 million…

SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million

SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million

The Securities and Exchange Commission today announced settled charges against GrubMarket Inc., a private, California-based e-commerce food distributor, for providing investors with financial information that…

SEC Charges LPL Financial with Anti-Money Laundering Violations

SEC Charges LPL Financial with Anti-Money Laundering Violations

The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML)…

SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models

SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models

The Securities and Exchange Commission today announced settled charges against New York-based investment advisers Two Sigma Investments LP and Two Sigma Advisers LP (collectively, Two…

SEC Announces Departure of Director of International Affairs YJ Fischer

SEC Announces Departure of Director of International Affairs YJ Fischer

The Securities and Exchange Commission today announced that YJ Fischer, the Director of the Office of International Affairs (OIA) since August 2021, will leave her…

Jason M. Hatfield Named to Mid-South Super Lawyers List for 11th Time, Threepeats Top 50 List

Springdale, Arkansas – Springdale personal injury attorney Jason M. Hatfield was recently named to the Mid-South Super Lawyers list for the 11th time. He also…

Jason M. Hatfield Named to Mid-South Super Lawyers List for 11th Time, Threepeats Top 50 List

Springdale, Arkansas – Springdale personal injury attorney Jason M. Hatfield was recently named to the Mid-South Super Lawyers list for the 11th time. He also…