Category: DISCLOSURE FAILURES

Disclosure Failures in the financial markets refer to instances where entities, such as publicly traded companies, financial institutions, or investment funds, fail to accurately and adequately disclose material information to investors and stakeholders. This information includes financial results, risks, liabilities, strategic decisions, and other crucial details that could influence investment decisions or market perceptions. Such failures can involve misleading statements, omissions of important facts, or incomplete disclosures that misrepresent the true financial health or operational risks of the entity. Disclosure failures undermine market transparency, distort pricing mechanisms, erode investor confidence, and may violate securities laws and regulations designed to protect investors and ensure fair and efficient markets. Regulatory oversight by agencies like the SEC is crucial in detecting and addressing these failures to maintain market integrity and investor trust.

SEC-PR-2024-55

File ID:  SEC-PR-2024-55 Date:  May 14, 2024 Accessed:  July 9, 2024 Headline:  SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest. Firm owner received undisclosed fee for investing clients’ money in films. Source:  https://www.sec.gov/newsroom/press-releases/2024-55 Categories: INVESTMENT ADVISORS DISCLOSURE FAILURES SEC-PR-2024-55 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-33

File ID: SEC-PR-2024-33 Date: March 7, 2024 Accessed: July 3, 2024 Headline:  Securities and Exchange Commission Charges Skechers with Making Undisclosed Payments to Executives’ Family Members Source: https://www.sec.gov/newsroom/press-releases/2024-33 Categories: DISCLOSURE FAILURES UNDISCLOSED PAYMENTS SEC-PR-2024-33 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-30

File ID: SEC-PR-2024-30 Date: March 1, 2024 Accessed: July 3, 2024 Headline:  Securities and Exchange Commission Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid Source: https://www.sec.gov/newsroom/press-releases/2024-30 Categories: INVESTMENT ADVISORS DISCLOSURE FAILURES ACQUISITIONS & MERGERS SEC-PR-2024-30 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-05

Agency News Release - SEC-PR-2024-05

SEC-PR-2024-05 Source:  https://www.sec.gov/newsroom/press-releases/2024-5 Accessed:  July 13, 2024 SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures FOR IMMEDIATE RELEASE | 2024-5 Washington D.C., Jan. 11, 2024 — The Securities and Exchange Commission today charged Shanchun Huang with Manipulative Trading in the stock of Future FinTech Group Inc., using an offshore account shortly […]