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Biz Law Blog

February 13, 2023
Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader
January 30, 2023
Outside Tips: SEC Sues Trio for Trading on Equifax Breach
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
November 14, 2022
Fake News, American Style: SEC Sues Company and Executives for Phony “News”
September 19, 2022
“Pillow Talk": SEC Sues Greedy New Jersey "Domestic Partner"
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
June 1, 2022
SEC Brings Enforcement to Tragedy: Asserts Failed ESG Disclosure in Dam Collapse
September 9, 2021
Tweeting in the Night: Judgment Entered Against ARCS Stock Tout
August 31, 2021
Streaming Data: SEC Charges Netflix Trading Ring
August 3, 2021
Insider Tips: And That IS “Bull”
June 29, 2021
“C.T.A.,” NOT “Chicago”
June 8, 2021
Fixing FICC: Agency Proposes Rule Changes to Encourage More Repo Clearing
May 27, 2021
“Margin, I Have to Have More Margin:” The National Securities Clearing Corporation Proposes to Increase the Minimum Required Fund Deposit
May 25, 2021
Data Integrity: The SEC Sanctions S & P Dow Jones Indices LLC
April 29, 2021
Tightening the Reins: SEC Approves Proposed Rule Change to Clearing Agency Investment Policy
April 15, 2021
Oops: NASDAQ Seeks to Correct a 2009 Error Re: ADR Listing Requirements
March 30, 2021
Under the Cover of Darkness: Insider Trading and the Dark Web
March 9, 2021
Are You Covered? The Exposure of D’s and O’s for Diverse Reasons
March 4, 2021
SEC Stops the Game: Suspending Trading After “Questionable Trading and Social Media Activity”
February 11, 2021
Taking a Bath: Will Bed Bath & Beyond Drown in the GameStop Surge?
February 9, 2021
Inciting to Rupture: Keith Gill and the GameStop Surge
February 2, 2021
Rupture Rapture: Should the GameStop?
January 5, 2021
Felling Goliaths: ICE, Prudential, and the SEC Slingshot
December 29, 2020
Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX
November 5, 2020
The European Stock Markets: Still at Sixes and Sevens
October 22, 2020
Inside Looking Out: Enforcing the Law Against a Market Designer
September 2, 2020
Direct Listing on the New York Stock Exchange: “Undertaking” Underwriting

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