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Joel R. Levin, Director Of Chicago Regional Office, To Leave SEC

Joel R. Levin, Director Of Chicago Regional Office, To Leave SEC
Date
16/04/2021
The Securities and Exchange Commission today announced that Joel R. Levin, the Director of its Chicago Regional Office, will leave the agency at the end of May.
Mr. Levin has served as Director of the Chicago office since May 2018, overseeing the agency’s second-largest regional office of more than 260 attorneys, accountants, investigators, securities compliance examiners and other personnel involved in the investigation and prosecution of enforcement actions and the performance of compliance examinations. The nine-state region overseen by the Chicago office is home to roughly 20 percent of the nation’s population, and exercises jurisdiction over more than 2,000 investment advisers and investment companies with over $10 trillion in assets under management, and over 500 broker-dealers with more than 35,000 branch offices. ....

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SEC accuses trader of using Twitter to hype stocks with false claims

SEC accuses trader of using Twitter to hype stocks with false claims
The Securities and Exchange Commission (SEC) has announced charges against a California man accused of using Twitter to spread false claims about a ‘defunct company’ after purchasing millions of shares. This alleged ‘pump and dump’ scheme, according to the SEC, involving the tweeting of ‘false statements’ about Arcis Resources Corporation (ARCS), which was involved with the cannabis market.
The SEC detailed the case on Monday, March 15; the complaint was filed in federal court on March 2, but was only unsealed this week. The matter involves Twitter user “@OCMillionaire” (Andrew L. Fassari), who is accused of using tweets to spread ‘false statements’ about ARCS. ....

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SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets

The Securities and Exchange Commission today announced fraud charges and an asset freeze and other emergency relief against an Irvine, California-based trader who used social media to spread false. ....

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[Virtual Event] Foreign Corrupt Practices Act New York - June 2nd - 3rd, 10:00 am - 4:00 pm EDT | American Conference Institute (ACI)

FCPA TECH: INTERACTIVE BENCHMARKING WITH AUDIENCE POLLING
The New Realities of Third-Party Due Diligence with Limited Resources
STRENGHENING AN ETHICAL CULTURE IN GOOD TIMES AND IN BAD
Breakout roundtable- Ephemeral Communications: Taking Stock of Compliance Successes, Missteps and Grey Areas
CLICK HERE to see the full program including speaker faculty.
Save an extra 10% off the conference by using code D10-999-JDS21.
Discount is valid for new registration only. ....

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SEC Sues AT&T For Leaking Info To Analysts To Cover Up Drooping Smartphone Sales

AT&T had a damn good ride during the Trump administration. Not only did it convince Trump regulators to effectively lobotomize. ....

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