Apr 21, 2021 | SEC Investigations
On April 17, Gary Gensler was sworn in as Chair of the Securities and Exchange Commission (SEC). After being nominated by President Biden on February 3, 2021, Gensler was confirmed by the Senate in a 53-to-45 vote on April 14. Gensler is a non-attorney, and will be...
Mar 9, 2021 | SEC Investigations
In a press release on March 5, 2021, the U.S. Securities and Exchange Commission (“SEC”) announced that it had charged AT&T and three of its executives with violations of Regulation FD. Regulation FD was first promulgated by the SEC in 2000 in order to curtail...
Feb 9, 2021 | SEC Investigations
In a press release on February 4, 2021, the Securities and Exchange Commission (“SEC”) announced that it was bringing charges against three individuals and their affiliated entities in connection with a Ponzi scheme involving $1.7 billion in funds. The SEC alleges...
Feb 4, 2021 | SEC Investigations
Over the past few weeks, the internet has been awash with news of a wild rise in the stock prices of publicly traded companies, most notably GameStop and AMC Theaters. Given the impact of the COVID-19 pandemic on the market for securities, one might suspect that this...
