Legal Eagle Review
SEC Charges Ponzi Schemer Targeting Church Congregations
- Details
- Written by LER
The Securities and Exchange Commission today charged a self-described “Social Capitalist” with running a Ponzi scheme that targeted socially-conscious investors in church congregations.
SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures
- Details
- Written by LER
The Securities and Exchange Commission today charged that Goldman, Sachs & Co. lacked adequate policies and procedures to address the risk that during weekly “huddles,” the firm’s analysts could share material, nonpublic information about upcoming research changes. Huddles were a practice where Goldman’s stock research analysts met to provide their best trading ideas to firm traders and later passed them on to a select group of top clients.
SFMS Announces Investigation of Chelsea Therapeutics, Ltd. for Shareholders
- Details
- Written by GNW
Shepherd, Finkelman, Miller & Shah, LLP, a law firm with offices in California, Connecticut, Florida, New York, New Jersey, Pennsylvania and Wisconsin, announces that it is investigating possible breaches of fiduciary duty and other violations of law by certain officers and directors at Chelsea Therapeutics, Ltd. ("Chelsea Therapeutics" or the "Company").
SEC Announces Members of New Investor Advisory Committee
- Details
- Written by Legal Eagle Review
Washington, DC - The Securities and Exchange Commission today announced the formation of a new Investor Advisory Committee required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Settles Fraud Charges Against Silicon Valley Man
- Details
- Written by LER
The Securities and Exchange Commission today charged a Silicon Valley man who raised millions for two Internet start-ups by falsely promising investors that his companies were on the verge of undergoing successful initial public offerings and were well on their way to becoming the “next Google.”
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