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Regulatory Update and Recent SEC Actions - January 2023 | Blank Rome LLP

REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC.

New yorkUnited statesCatherine cortez mastoLawrence billimekJose ramiro coronado reyesAlan williamsPenelope zbravosStuarta jefferyJeffreyk galvaniRamon antonio perez ariasKatie porterKeithe cassidyGary genslerMegan barberoJuan antonio tacuri fajardoAmanda fischer

SEC Charges Unregistered Brokers With Violations After Facilitating $1 2B in Penny Stock Trades

A lawsuit filed on Thursday in the Southern District of New York by the Securities and Exchange Commission (SEC) contends that Jeffrey K. Galvani and

New yorkUnited statesDavidl peavlerStuarta jefferyJeffreyk galvaniExchange commissionFort worth regional officeSouthern districtWorth regional office

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