Thursday, January 28, 2021

The Securities Law Blog: Gamestop Investigations?

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The Securities Law Blog: Gamestop Investigations? :  By now, all of our readers are aware of the dramatic rise in Gamestop's stock, afte...
Monday, March 11, 2019

SEC Share Class Initiative Returning More Than $125 Million to Investors

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The SEC has settled charges against 79 investment advisers who will return more than $125 million to clients, with a substantial majority of...
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SEC Share Class Initiative Returning More Than $125 Million to Investors

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The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million...
Thursday, March 07, 2019

Securities Lawyer Blog: BB&T to Return More Than $5 Million to Retail Inve...

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T he Securities and Exchange Commission announced that BB&T Securities has agreed to return more than $5 million to retail investors and...
Wednesday, March 06, 2019

Mobile TeleSystems Settles FCPA Violations

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The Securities and Exchange Commission today announced that Russian telecommunications provider Mobile TeleSystems PJSC (MTS) will pay $100 ...
Tuesday, March 05, 2019

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements

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The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investor...
Friday, March 01, 2019

SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker

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The Securities and Exchange Commission celebrated African American History Month with events in its Regional Offices and a presentation by s...
1 comment:
Thursday, February 28, 2019

SEC Names Gabriel Benincasa As Its First Chief Risk Officer

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The Securities and Exchange Commission today announced that Gabriel Benincasa has been named the Commission’s first Chief Risk Officer.  Thi...