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    Blogs > Biz Law Blog

    Biz Law Blog

    April 3, 2023
    When the “Back Door” is Closed: Muni Bond Underwriter Sanctioned
    March 27, 2023
    “Oh, Baloney!” SEC Sues Father, Son, and Friend for Manipulating the Stock of a New Jersey Deli
    February 21, 2023
    The Fourth Crow: SEC Sues Nonexistent Fund and Unidentified Agents
    February 13, 2023
    Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader
    February 6, 2023
    Even-handed Thievery: SEC Sanctions Unregistered Investment Adviser for Fraudulent: I) Investment Advice, AND II) Filings for PPP Loans
    January 30, 2023
    Outside Tips: SEC Sues Trio for Trading on Equifax Breach
    January 23, 2023
    Hack Attack: SEC Charges 18 Individuals and Entities with Microcap “Pump and Dump”
    January 17, 2023
    “Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game
    January 9, 2023
    Investment Esoterica: A Stockless Triptych
    December 27, 2022
    Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies
    December 19, 2022
    Cutting Corners: SEC Sues Surgical Implant Company for Disclosure AND Accounting Fraud
    December 12, 2022
    'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund
    December 5, 2022
    Goldman and the Juliet Problem: SEC Sanctions Adviser for Faulty ESG Policies
    November 28, 2022
    Only Sell What You Know-II: Selling Variable Interest Structure Products Is a Fraud on the Unsuspecting
    November 14, 2022
    Fake News, American Style: SEC Sues Company and Executives for Phony “News”
    October 31, 2022
    Capturing the “Bull”: US Attorney and SEC Deal With “Inside” Tipper
    September 26, 2022
    Non-Compliant Compliance: SEC Sanctions Chief Compliance Officer
    September 19, 2022
    “Pillow Talk": SEC Sues Greedy New Jersey "Domestic Partner"
    August 15, 2022
    Impaired Brilliance: SEC and US Attorney Sue Veteran Investor for Insider Trading
    August 1, 2022
    Who Are You? Auditor or Consultant, And Nonetheless Cheating on Exams
    July 25, 2022
    Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds
    July 15, 2022
    Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement
    July 11, 2022
    Stealing From the Weak: SEC Charges Fraudulent Operation of Special Needs Pooled Trusts
    June 27, 2022
    Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud
    June 20, 2022
    Changing the Game: SEC Brings Enforcement Action for Exchanging Annuities
    June 13, 2022
    A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme
    May 9, 2022
    Penny Pest Control: Rollins Inc. Pays $8 Million for Managing Earnings
    April 21, 2022
    A Triptych of Frauds: SEC Brings Enforcement Actions
    February 1, 2022
    No Way Out? Real Estate Lending Becomes Riskier
    June 29, 2021
    “C.T.A.,” NOT “Chicago”
    May 13, 2021
    Twelve Tips When Preparing to Sell a Family-Owned Business
    May 11, 2021
    Friends and Family Fraud: LLC Does It
    April 29, 2021
    Tightening the Reins: SEC Approves Proposed Rule Change to Clearing Agency Investment Policy
    April 27, 2021
    “I Robot:” The SEC Evaluates the First Law of Robotics
    April 22, 2021
    What’s in a Name? The SEC Warns Against Confusion in ESG Investments
    March 4, 2021
    SEC Stops the Game: Suspending Trading After “Questionable Trading and Social Media Activity”
    January 7, 2021
    Tacking When Floating and Other Proposed Amendments to SEC Rule 144
    December 31, 2020
    Letting Qualified Experts Expand the Pink to Avoid the Grey: Proposed Conditional Waiver to SEC Rule 15c2-11
    December 29, 2020
    Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX
    October 29, 2020
    Keeping Securities Disclosures in the Pink: Amendments to SEC Rule 15c2-11
    October 8, 2020
    “We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts
    October 1, 2020
    Taxing Disclosures: Municipal Securities Issuers and COVID-19
    September 29, 2020
    What if the Advice Is Suspect? Municipal Securities Advisor Registration and Dereliction
    September 22, 2020
    SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime
    September 15, 2020
    ‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result
    September 10, 2020
    When the Tank Is Empty: Auditing in the Time of COVID-19
    September 2, 2020
    Direct Listing on the New York Stock Exchange: “Undertaking” Underwriting
    April 24, 2020
    M&A in the Investment Services Space – Help! My Deal Went Sideways...
    March 18, 2020
    Coronavirus (COVID-19) Exemption for Certain Money Manager (Investment Adviser) Filing and Delivery Requirements
    December 11, 2018
    The Expanding Scope of the Committee on Foreign Investment in the United States

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