Although violations of OFAC sanctions are enforced primarily by the Office of Foreign Assets Control and the Department of Justice, the SEC can also take … Continued
In a January 30, 2022 letter to SEC Chair Gensler, eight State treasurers requested that the SEC investigate Apple’s nondisclosure agreements and whether Apple misled the SEC … Continued
Securities Fraud Whistleblowers Rewarded $37 Million The Securities and Exchange Commission (SEC) announced a whistleblower award of approximately $37 million to two joint whistleblowers who … Continued
Promissory Note Frauds Fraudsters have recently begun to use promissory notes as vehicles to defraud investors out of billions of dollars. Most promissory note frauds share common … Continued
Spoofing and Market Manipulation Spoofing is a form of market manipulation where traders artificially inflate the supply and demand of an asset to increase profits. … Continued
Companies “cook the books” when they use accounting schemes and tricks to falsify their financial statements (i.e., their books) to make their results appear … Continued
SEC whistleblower lawyer Jason Zuckerman will moderate a DC Bar webcast program titled New Developments in the SEC Whistleblower Program on December 9, 2020. To … Continued
The FY 2020 report of the SEC Office of the Whistleblower reveals that the SEC whistleblower program is firing on all cylinders. Enforcement actions from … Continued
Today the SEC Division of Enforcement issued its annual report for FY 2020. Although the number of cases that the SEC filed declined as compared … Continued
SEC Targets Unregistered Convertible Debt Lenders and Penny Stock Dealers The U.S. Securities and Exchange Commission (SEC) is targeting convertible debt lenders and penny stock … Continued
Whistleblower retaliation lawyer Jason Zuckerman will speak at a National Business Institute webinar about Whistleblower Law and Retaliation Claims on August 12, 2020. Click here to … Continued