The Securities and Exchange Commission today announced fraud charges against Sean Wygovsky, a trader at a major Canada-based asset management firm, in connection with a long-running and lucrative front-running scheme that Wygovsky perpetrated in the… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Month: July 2021
SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
The Securities and Exchange Commission today released the agenda for the July 7 meeting of the Asset Management Advisory Committee (AMAC). The meeting will include a discussion of matters in the asset management industry relating to: (1) the ESG,… Read the Full Press Release Have a securities law question? Call […]
Matthew Skinner and Five of His Companies Charged With Multiple Offering Frauds and Misappropriation of Investor Funds
The Securities and Exchange Commission today announced charges against Matthew J. Skinner of Santa Clarita, California, and five entities he owns and controls – Empire West Equity Inc., Bayside Equity LP, Longacre Estates LP, Freedom Equity Fund LLC, and Simple Growth LLC – for conducting four unregistered and fraudulent real […]
New Jersey Attorney General Gurbir S. Grewal Appointed SEC Director of Enforcement
The Securities and Exchange Commission today announced that Gurbir S. Grewal has been appointed Director of the Division of Enforcement, effective July 26, 2021. Grewal currently serves as Attorney General for the State of New Jersey, a role he has held… Read the Full Press Release Have a securities law […]
Robinhood Fined $70 Million
FINRA fines Robinhood and orders it to pay its customers 12.6 million dollars
SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
The Securities and Exchange Commission today announced settled insider trading charges against Bay Area finance employee Mounir N. Gad and his friend Nathan E. Guido. According to the SEC’s orders against Gad and Guido, Gad worked for a Northern… Read the Full Press Release Have a securities law question? Call […]
