The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
SEC Charges TD Securities with Manipulating U.S. Treasury Market through Spoofing The Securities and Exchange Commission (SEC) recently announced charges against TD Securities (USA) LLC, a registered broker-dealer, for engaging in market manipulation in the U.S. Treasury cash securities market. The charges focus on the illicit trading practice known as […]
The Securities and Exchange Commission (SEC) recently charged DraftKings Inc. with a significant violation of Regulation Fair Disclosure (FD) for selectively sharing nonpublic information. The violation occurred when material information was disclosed via social media platforms, resulting in a $200,000 civil penalty. This article delves into the SEC charges against […]
The Securities and Exchange Commission today announced that Richard R. Best, the Director of the Division of Examinations, will transition to an advisory role as Senior Advisor to the Director of the Division of Examinations once he returns from medical… SEC Press Release
The Securities and Exchange Commission today announced charges against U.K. citizen Robert B. Westbrook for hacking into the computer systems of five U.S. public companies to obtain material nonpublic information about their corporate earnings and using… SEC Press Release
The Securities and Exchange Commission today filed settled charges against Mango DAO and Blockworks Foundation for engaging in the unregistered offer and sale of crypto assets called “MNGO” tokens. The SEC also settled charges against Blockworks… SEC Press Release
The rule and form amendments approved by the Commission are intended to enhance security and improve filer access and account management. SEC Press Release
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Helene on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer… SEC Press Release
The Securities and Exchange Commission today announced Cassava Sciences, Inc., its founder and former CEO, Remi Barbier, and its former Senior Vice President of Neuroscience, Dr. Lindsay Burns, will pay more than $40 million to settle charges related to… SEC Press Release
The Securities and Exchange Commission today announced settled charges against Florida-based GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult… SEC Press Release
The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. for exceeding clients’ designated investment limits over a two-year period beginning in March 2016… SEC Press Release
