JD Supra

SEC Enforcement Action – Failure to File Forms D

On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...
JD Supra

SEC Enforcement Actions for Failure to File Form D: A Wake-up Call for Startups and Private Fund Advisers

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) issued a press release highlighting settled enforcement actions against a private fund adviser and two pre-IPO companies ...
Noozhawk

SEC Files Charges Against Orcutt Financial Adviser Accused of Fraud

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...
CoinTelegraph

Judge rejects SEC’s motion to file an appeal against Ripple ruling

District Court Judge Analisa Torres denied the SEC’s motion to file an appeal, claiming that the regulator did not show that there were substantial grounds for difference of opinion. District Court ...