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Nutter Securities Enforcement Update: November 1, 2022 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

Mauricio chavezGiorgio benvenutoWilliam hilsonDewey leboeufKim kardashianKimberly kardashianExchange act sectionMatter of newage incBarclays capital incScotia capital united states incMatter of cronos group incAsset management incOntario securities commissionJustice departmentNewage incDealerweb inc

SEC Targets SPAC Conflicts of Interest | Troutman Pepper

On September 6, investment advisory firm Perceptive Advisors LLC (Perceptive) agreed to a cease-and-desist order with the U.S. Securities and Exchange Commission (SEC) for failing to.

Arya spacsGary genslerC dabney oriordanAllison herren leePerceptive life sciences master fund ltdExchange commissionExchange act sectionPerceptive advisorsEnforcement division asset management unitPerceptive personnelPerceptive life sciences master fundAdvisers actAdvisers act sectionsEnforcement divisionAsset management unitChair allison herren lee

Nutter Securities Enforcement Update: September 1, 2022 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

United statesNew yorkLeea bresslerRichard keith robertsonJamesh robertsRonald paulMarkc kellyVinit bodasFarber hass hurleySpartan securities groupExchange act sectionMatter of angel oak capital advisorsAlpine securities corporationMatter of eagle bancorp incRenovacare incMatter of surgalign holdings inc

Nutter Securities Enforcement Update: August 1, 2022 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

New yorkUnited statesNew jerseyGavind southwellPatrick mcdermottArcangelo lobertoMo junIshan wahiResearch in motion incExchange act sectionRio tintoCatabasis pharmaceutical incExchange act ruleJp morganMatter of equitable financial life insurance companyMatter of aegis capital corp

Nutter Securities Enforcement Update: July 1, 2022 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

West virginiaUnited statesJosephi lermanStephenh jacksonAnthony sirotkaStephenm wyssJohn paul harnishJeffrey kirkpatrickJohn hendersonRobert samuel shumake jrWillard jacksonJoseph lermanThomas kahnRobertg hilbertJennifer campbellKathryn jane meredith

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