Breton Leone-Quick

Mintz

+ Follow Contact

Latest Posts › Settlement

Share:

SEC Scrutiny of Crowdinvesting Sites Not Registered as Broker-Dealers

On November 10, 2014, the SEC announced a settlement with Eureeca Capital SPC, which is a crowdinvesting portal incorporated in the Cayman Islands. Eureeca’s website seeks to match foreign-based issuers with investors...more

11/12/2014 / Accredited Investors , Broker-Dealer , Crowdfunding , Equity Investors , Securities and Exchange Commission (SEC) , Settlement , Websites

Three Observations From the SEC’s Settlements with Thirteen Municipal Dealers Over Below-Denomination Sales of Puerto Rico Bonds

On November 3, 2014, the SEC announced settlements with thirteen different registered municipal securities dealers in connection with sales of non-investment grade bonds issued by Puerto Rico in 2014. The settlements...more

11/6/2014 / Enforcement , Enforcement Actions , Municipal Advisers , Municipal Bonds , Securities and Exchange Commission (SEC) , Settlement

Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative

Just yesterday, the SEC announced its first settlement pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. ... Here are two observations on this settlement that could shed some light on...more

7/10/2014 / Disclosure Requirements , Enforcement , Enforcement Actions , Municipalities , Securities and Exchange Commission (SEC) , Settlement

Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision

Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further...more

6/11/2014 / Admissions of Liability , Citigroup , Judge Rakoff , Neither Admit Nor Deny Settlements , SEC v Citigroup , Securities and Exchange Commission (SEC) , Settlement

4 Results

View per page

Page: of 1