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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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