SEC-PAUSE-PROGRAM SEC PAUSE Program (Public Alert: Unregistered Soliciting Entities) identifies firms and individuals impersonating legitimate entities or promoting investment scams without proper registration. Date: Aug. 13, 2024 Date Accessed: Aug. 13, 2024 Source URL: https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities Categories: SEC-2408 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be […]
Category: SEC-24
SEC-PR-2024-90 (JUL. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-90 Download: SEC-PR-2024-90 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-90 Securities and Exchange Commission Awards Whistleblower More Than $37 Million Washington D.C., July 26, 2024 — The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful […]
SEC-PR-2024-89 (JUL. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-89 Download: SEC-PR-2024-89 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-89 SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme. Boca Raton short seller used ‘bait-and-switch’ tactics to mislead investors Washington D.C., July 26, 2024 — The Securities and Exchange Commission today announced charges against activist short seller Andrew […]
SEC-PR-2024-88 (JUL. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-88 Download: SEC-PR-2024-88 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-88 Securities and Exchange Commission Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud Washington D.C., July 25, 2024 — The Securities and Exchange Commission today charged Babu Ramaraj, a resident of Aldie, Virginia, with defrauding more than 70 investors of approximately […]
SEC-PR-2024-87 (JUL. 22, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-87 Download: SEC-PR-2024-87 ⊗ (PDF) PRESS RELEASE | 2024-87 Keith E. Cassidy Named Interim Acting Director of the Division of Examinations Washington D.C., July 22, 2024 — In response to a previously announced ⊗ medical issue, the Securities and Exchange Commission today announced that Richard Best, the Director of the Division […]
SEC-PR-2024-86 (JUL. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-86 Download: SEC-PR-2024-86 ⊗ (PDF) PRESS RELEASE | 2024-86 SEC Launches Interagency Securities Council to Coordinate Enforcement Efforts Across Federal, State, and Local Agencies Washington D.C., July 19, 2024 — The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, […]
SEC-PR-2024-56 (MAY. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-56 Download: SEC-PR-2024-56 ⊗ (PDF) PRESS RELEASE | 2024-56 SEC Seeks Candidates for Small Business Capital Formation Advisory Committee. Washington D.C., May 14, 2024 — The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee ⊗, which provides […]
SEC-PR-2024-27 (FEB. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-27 Download: SEC-PR-2024-27 ⊗ (PDF) PRESS RELEASE | 2024-27 SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management Washington D.C., Feb. 28, 2024 — The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, […]
SEC-PR-2024-85 (JUL. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-85 Download: SEC-PR-2024-85 ⊗ (PDF) PRESS RELEASE | 2024-85 Securities and Exchange Commission Awards More Than $37 Million to a Whistleblower Washington D.C., July 17, 2024 — The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower who provided information not previously known […]
SEC-PR-2024-84 (JUL. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-84 Download: SEC-PR-2024-84 ⊗ (PDF) PRESS RELEASE | 2024-84 SEC Small Business Advisory Committee to Explore Recent Changes to U.S. Small Business Administration’s Small Business Investment Company Program Washington D.C., July 12, 2024 — The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, […]