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Foreign SEC Whistleblowers Receive $5 Million Joint Award

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SEC Signals Focus on Digital Asset Securities in Risk Alert

The SEC issued a Risk Alert signaling an exam focus this year on activities of investment advisers, broker–dealers, exchanges, and transfer agents related to Digital Asset Securities, defined as assets distributed and/or transferred using distributed ledger or blockchain technology. ....

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SEC Suspends Trading After Questionable Social Media Activity

Thursday, March 4, 2021
On Friday, February 26, the U.S. Securities and Exchange Commission (“SEC”) announced in a press release that they are suspending trading in 15 stocks in an effort “as part of its continuing effort to respond to exploit investors during the recent market volatility.” The February 26, 2021, order issued by the SEC states that “none of the issuers has filed any information with the SEC or OTC Markets, where the companies’ securities are quoted, for over a year. The SEC said that this followed the suspension of trading in some six stocks in the prior week. In each case, the SEC asserts that they appear to “have been the targets of apparent social media attempts to ARTIFICIALLY inflate their stock prices” (emphasis added). ....

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SEC Sues New Rochelle College's Independent Auditors at KPMG LLP

Tuesday, March 2, 2021
As I reported in my September 22, 2020, blog post, “SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime,” in March 2019, the U.S. Securities and Exchange Commission (“SEC”) filed a civil lawsuit against the former controller of the College of New Rochelle, a non-profit college in Westchester County, just north of New York City. The college had gotten in financial trouble due to declining enrollment and a falling collection of pledged donations. Beginning in 2013 the controller falsified financial records and failed to pay payroll taxes so that by 2015, the college’s financial statements overstated net assets by almost $34 million. In order to try to keep the college in operation, the controller began secretly using money from the college’s endowment funds to pay for operating expenses, and by 2015, the $30 million endowment was depleted to $8.8 mil ....

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SEC Charges Ripple with Conducting $1.3 Billion Unregistered Securities Offering

Monday, February 22, 2021
Late last year, the SEC filed a litigated action in the U.S. District Court for the Southern District of New York against Ripple Labs Inc. and two of its executive officers (collectively, “Ripple”), alleging that Ripple raised over $1.3 billion in unregistered offerings of the digital asset known as XRP. Ripple opted not to file a motion to dismiss the complaint, and based on recent filings it appears that the parties do not believe a pre-trial settlement is likely. The SEC’s complaint alleges that, beginning in 2013, Ripple raised funds through the sales of XRP in unregistered securities offerings to investors in the U.S. and abroad. Ripple also allegedly exchanged billions of XRP units for non-cash consideration, including labor and market-making services. The SEC’s complaint also named as defendants two executives of Ripple who allegedly effected personal, unregistered sales of XRP totaling approximately $600 million. Accord ....

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