The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
Marcum LLP Faces SEC Charges for Audit Quality Control Failures In a significant development, audit firm Marcum LLP has come under scrutiny by the Securities and Exchange Commission (SEC) for its systemic quality control failures and violations of audit standards. The charges are particularly related to its audit work for […]
SECLaw.com is a comprehensive online platform providing legal analysis, news, articles, and resources about securities laws. Founded in 1995 by renowned securities lawyer Mark Astarita.
The Securities and Exchange Commission has charged former broker Surage Kamal Roshan Perera and his company, Janues Capital Incorporated, with engaging in fraudulent activities. The charges relate to allegations that they defrauded at least one investor out of millions of dollars. The SEC alleges that Perera and his firm deceived […]
Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, has agreed to pay a $3 million civil penalty to settle charges over misleading disclosures about a 2020 ransomware attack that impacted more than 13,000 customers. The SEC announced the settlement on March 9, […]
Rio Tinto, a global mining and metals company, has agreed to pay a $15 million civil penalty to the Securities and Exchange Commission (SEC) for violating the Foreign Corrupt Practices Act (FCPA). The violation is related to a bribery scheme involving a consultant in Guinea. The Hiring of a Consultant […]
Feb. 24, 2023 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of Private Markets relative to the Public […]
Jan. 4, 2023 —The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, AEO Publishing Inc, Banner Co-Op, Inc, and BannersGo, LLC for their involvement in a fraudulent investment scheme named CoinDeal that raised more than $45 million from sales of unregistered securities […]
Washington D.C., May 24, 2022 — TradeZero America Inc., and its co-founder, Daniel Pipitone settled SEC charges that it falsely stated to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact they did. In late January 2021, many brokers restricted investors’ ability to […]
The Securities and Exchange Commission today filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for violations that related to unsuitable sales of complex exchange-traded products to… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
The Securities and Exchange Commission today announced that it has named Mike Willis as an Associate Director in the Division of Economic and Risk Analysis (DERA). Mr. Willis will lead DERA’s newly created Office of Data Science and Innovation, which… Read the Full Press Release Have a securities law question? […]
