by Jyotsna Bucktowar | Jul 26, 2024
The whistleblower persisted in reporting the misconduct internally, which led the employer to conduct its own investigation and eventually report the results to the Commission. This self-report caused the Commission to open an investigation. Further, without the...
by Jyotsna Bucktowar | Jul 18, 2024
The SEC’s complaint alleges that Left, who resides in Boca Raton, Fl., used his Citron Research website and related social media platforms on at least 26 occasions to publicly recommend taking long or short positions in 23 companies and held out the positions as...
by Jyotsna Bucktowar | Jul 1, 2024
RRD’s cybersecurity incident disclosure controls were ineffective in promptly delivering all pertinent information to management for decision-making, lacking clear guidance for reporting personnel. Their incident response policies did not set clear priorities or...
by Jyotsna Bucktowar | Jun 10, 2024
The US SEC recently won courtroom victories in insider trading and crypto actions, initiated its first off-channel communications action and initiated the second round of settled actions under the Advisers Act Marketing Rule…
by Jyotsna Bucktowar | Jun 9, 2024
SEC charges defendants with violating antifraud and federal securities laws, seeking permanent injunctive relief, return of gains, and civil penalties…
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