Category Archives: Uncategorized
IS INSIDER TRADING WORTH THE RISK
The Securities and Exchange Commission (SEC) recently obtained a criminal conviction against a former Pharmaceutical [...]
Fiduciary Duties: Potential Reform?
A fiduciary is a person or entity that is required to act in the best [...]
Sep
What is the SEC?
What is the SEC? The SEC (Securities and Exchange Commission) is a large independent agency [...]
Aug
Parallax Charged for Misleading Information in an Attempt to Boost Stock Price
The SEC charged Parallax for releasing misleading information about its Covid-19 diagnostic product to boost [...]
Aug
SEC Charge Against GadGuido
SEC Charge Against GadGuido. On June 30, 2021, the Securities and Exchange Commission (the “SEC”) [...]
Aug
Violating the Anti-touting Provision – The SEC charged UK Blotics
Violating the Anti-touting Provision. On July 14th, the Securities and Exchange Commission (“SEC”) charged[1] Blotics [...]
Aug
Touted Real Estate Investor Charged with Unregistered Offering
The SEC Charged a Touted Real Estate Investor with Orchestrating Unregistered Offering with a Fraudulent [...]
Aug