SEC-NEWS-2501 — Litigation Releases — January, 2025 (2025)
Source: https://www.sec.gov
(Date) – (Document Number) – News Title — (PR) = Press Releases • (LR) = Litigation Releases
- (01/31/25) – (LR-26233) – Max Infinity Management LLC d/b/a Max Infinity Fund; Max Infinity Venture Partners, Inc.; Elder Fund Management LLC; JJRP United Corp; Grand Level Consulting Inc.; John S. Cangialosi, Jr.; Peter N. Girgis; Gene “Jerry” Sarabella; Enrico A. “Ed” Carini; Caner “John” Otar; Chester E. “Chett” Scotland; and Franz H. Lambert
- (01/31/25) – (LR-26233) – Max Infinity Management LLC d/b/a Max Infinity Fund; Max Infinity Venture Partners, Inc.; Elder Fund Management LLC; JJRP United Corp; Grand Level Consulting Inc.; John S. Cangialosi, Jr.; Peter N. Girgis; Gene “Jerry” Sarabella; Enrico A. “Ed” Carini; Caner “John” Otar; Chester E. “Chett” Scotland; and Franz H. Lambert
- (01/30/25) – (PR-2025-35) – SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange
- (01/29/25) – (PR-2025-33) – Extension of Form PF Amendments Compliance Date
- (01/28/25) – (PR-2025-32) – SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
- (01/24/25) – (LR-26232) – Alexander C. Beckman and Valerie H. Lau
- (01/24/25) – (PR-2025-31) – Acting Chairman Mark T. Uyeda Names Acting Senior Staff
- (01/22/25) – (LR-26231) – Gabriel Rebeiz
- (01/21/25) – (LR-26230) – Old South Trading Co., LLC; Brendan H. Church; Edwin N. (“Chuck”) Church
- (01/21/25) – (PR-2025-29) – Mark T. Uyeda Named Acting Chairman of the SEC
- (01/21/25) – (PR-2025-30) – SEC Crypto 2.0: Acting Chairman Uyeda Announces Formation of New Crypto Task Force
- (01/18/25) – (LR-26229) – Nova Labs, Inc.
- (01/17/25) – (LR-26224) – Scott Jeffrey Mason; Rubicon Wealth Management, LLC; Orchard Park Real Estate Holdings LLC
- (01/17/25) – (LR-26225) – American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles, and Maureen T. Wile
- (01/17/25) – (LR-26226) – Quest Education L.L.C.; Daniel Blue; David Christopher White; Keitoh Jordan Spears
- (01/17/25) – (LR-26227) – Naufal Sanaullah
- (01/17/25) – (LR-26228) – Arete Wealth Management LLC; Arete Wealth Advisors LLC; Joey Miller; Jeffrey Larson; Randall Scott Larson; UnBo Chung
- (01/17/25) – (PR-2025-16) – SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs
- (01/17/25) – (PR-2025-17) – SEC Charges LPL Financial with Anti-Money Laundering Violations
- (01/17/25) – (PR-2025-18) – SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million
- (01/17/25) – (PR-2025-19) – SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks
- (01/17/25) – (PR-2025-20) – SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients
- (01/17/25) – (PR-2025-21) – Vanguard to Pay More Than $100 Million to Resolve Violations Related to Target Date Retirement Funds
- (01/17/25) – (PR-2025-22) – SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition
- (01/17/25) – (PR-2025-23) – SEC Announces Departure of Chief of Staff Amanda Fischer
- (01/17/25) – (PR-2025-24) – SEC Policy Director Corey Klemmer to Step Down
- (01/17/25) – (PR-2025-25) – SEC Announces Departure of Public Affairs Head Scott Schneider
- (01/17/25) – (PR-2025-26) – SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025
- (01/17/25) – (PR-2025-27) – SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering
- (01/17/25) – (PR-2025-28) – SEC Announces Departure of Acting Enforcement Director Sanjay Wadhwa
- (01/16/25) – (LR-26222) – Andrew Hackett
- (01/16/25) – (LR-26223) – Eric Zhu
- (01/16/25) – (PR-2025-13) – SEC Announces Departure of General Counsel Megan Barbero
- (01/16/25) – (PR-2025-14) – SEC Announces Departure of Director of International Affairs YJ Fischer
- (01/16/25) – (PR-2025-15) – SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models
- (01/15/25) – (LR-26220) – Morningview Financial, LLC, Miles M. Riccio, and Joseph M. Riccio, Jr.
- (01/15/25) – (LR-26221) – Plutus Lending, LLC d/b/a Abra
- (01/15/25) – (PR-2025-10) – SEC Monitoring Impact of California Wildfires on Capital Markets
- (01/15/25) – (PR-2025-11) – SEC Announces Departure of Chief Economist Jessica Wachter
- (01/15/25) – (PR-2025-12) – SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings
- (01/14/25) – (LR-26216) – Joecool.com, LLC, Joseph Ariel Haber, and Robert Tye Cournoyer
- (01/14/25) – (LR-26217) – Hari Prasad Sure, et al.
- (01/14/25) – (LR-26218) – Alfred V. Tobia, Jr. and Elizabeth Lee
- (01/14/25) – (LR-26219) – Elon R. Musk
- (01/14/25) – (PR-2025-7) – Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers
- (01/14/25) – (PR-2025-8) – SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors
- (01/14/25) – (PR-2025-9) – SEC Announces Chief Accountant Paul Munter to Retire From Federal Service This Month
- (01/13/25) – (LR-26214) – William K. Ichioka
- (01/13/25) – (LR-26215) – Ashford Inc
- (01/13/25) – (PR-2025-3) – SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk
- (01/13/25) – (PR-2025-4) – SEC Charges Former Public Company Officer and His Sister-In-Law with Insider Trading
- (01/13/25) – (PR-2025-5) – Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions
- (01/13/25) – (PR-2025-6) – Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures
- (01/10/25) – (PR-2025-1) – Vince McMahon, Former CEO of WWE, Charged for Failure to Disclose to WWE Two Settlement Agreements He Executed on Behalf of WWE
- (01/10/25) – (PR-2025-2) – Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information
- (01/08/25) – (LR-26213) – Michael Caridi
- (01/07/25) – (LR-26211) – Christopher S. Kirchner
- (01/07/25) – (LR-26212) – Leena Jaitley
- (01/06/25) – (LR-26210) – Amit Dagar and Atul Bhiwapurkar
- (01/03/25) – (LR-26209) – Joseph M. Dupont; Shawn P. Cronin; Stanley Kaplan; Paul Feldman; and Jarett G. Mendoza
- (01/02/25) – (LR-26207) – Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum
- (01/02/25) – (LR-26208) – Theodore J. Farnsworth