FOR IMMEDIATE RELEASE 2016-158 Washington D.C., Aug. 10, 2016 —The Securities and Exchange Commission today announced that Kristin Snyder has been named Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).  She joins Co-National Associate Director Jane Jarcho who has led the program since August…

Company Pays for Violating Key Whistleblower Protection Rule FOR IMMEDIATE RELEASE 2016-157 Washington D.C., Aug. 10, 2016 —The Securities and Exchange Commission today announced that an Atlanta-based building products distributor is settling charges that it violated securities laws by using severance agreements that required outgoing employees to waive their rights to monetary recovery should they…

In this Bloomberg Interview, Mark Cuban gives a scathing takedown of insider trading enforcement by the Securities & Exchange Commission. He also criticizes the SEC generally. As much as I like the concept and theory of financial market regulation and the SEC, I have to say that certain points of his critique have merit.  …

SEC Charges Cardiologist with Insider Trading on Confidential Drug Trial Developments FOR IMMEDIATE RELEASE 2016-156 Washington D.C., Aug. 4, 2016 —The Securities and Exchange Commission today charged a cardiologist with insider trading on confidential developments as he worked on a clinical drug trial. The SEC alleges that Dr. Edward Kosinski of Weston, Connecticut, traded in…

FOR IMMEDIATE RELEASE 2016-155 Washington D.C., Aug. 2, 2016 —The U.S. Department of the Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank of New York, the U.S. Securities and Exchange Commission, and the U.S. Commodity Futures Trading Commission (Joint Member Agencies) today issued this statement to highlight significant actions…

FOR IMMEDIATE RELEASE 2016-154 Washington D.C., July 28, 2016 —The Securities and Exchange Commission will hold a meeting of the Equity Market Structure Advisory Committee on August 2, beginning at 9:30 a.m. EDT.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on equity…

FOR IMMEDIATE RELEASE 2016-153 Washington D.C., July 28, 2016 —The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees with more than $5 million raised from investors to purportedly develop a resort. In an emergency action…

FOR IMMEDIATE RELEASE 2016-152 Washington D.C., July 26, 2016 —The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million in a global settlement for misleading mutual funds and other custody clients by applying hidden markups to foreign currency exchange trades. As part of its custody…

There have been recent rules adopted by the Securities and Exchange Commission.  The Bradshaw Law Group focuses on federal securities laws, such as private placement offerings, initial public offerings and other securities offerings.  We represent clients from across the United States.  While the Bradshaw Law Group has been in business, the securities and exchange commission…

LAN Airlines Settles FCPA Charges FOR IMMEDIATE RELEASE 2016-151 Washington D.C., July 25, 2016 — The Securities and Exchange Commission today announced that South American-based LAN Airlines has agreed to pay more than $22 million to settle parallel civil and criminal cases related to improper payments it authorized during a dispute between the airline and its…

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