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Statement On Departure Of SEC Commissioner Jaime Lizárraga: SEC Chair Gary Gensler, SEC Commissioner Hester M. Peirce, SEC Commissioner Caroline A. Crenshaw, SEC Commissioner Mark T. Uyeda
Date 17/01/2025
We want to thank Jaime Lizárraga for his tireless work and commitment to the Commission and its mission. His years of public service have been marked by his dedication to strengthening our capital markets, protecting investors, and promoting sustainable capital formation. We have been fortunate to have him as a colleague.
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SEC Announces Departure Of Chief Of Staff Amanda Fischer
Date 17/01/2025
The Securities and Exchange Commission today announced the departure of Amanda Fischer, who has served as Chief of Staff since Jan. 1, 2023. She joined the agency as a Senior Counselor to Chair Gary Gensler in June 2021.
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SEC Charges Digital Currency Group And Soichiro “Michael” Moro, Former CEO Of Genesis Global Capital, For Misleading Investors About Genesis’s Financial Condition
Date 17/01/2025
The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis Global Capital LLC, will pay a combined $38.5 million in civil penalties to settle charges for misleading investors about Genesis’s financial condition.
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New York Attorney General James Secures $106 Million From Vanguard For Failing To Notify Investors Of Changes tT Retirement Funds
Date 17/01/2025
New York Attorney General Letitia James and a bipartisan, multistate coalition of 45 securities regulators, together with the Securities and Exchange Commission (SEC), today secured $106 million from Vanguard Group, Inc., an investment advisory firm, and its subsidiary Vanguard Marketing Corporation. The settlement follows Vanguard’s failure to notify investors of changes to its retirement funds that resulted in higher capital gains tax bills for hundreds of thousands of investors. An investigation by the Office of the Attorney General (OAG) found that Vanguard lowered the minimum requirements on one of its retirement funds without telling investors that the changes would result in higher tax bills. More than 15,000 New York investors were forced to pay capital gains taxes on their retirement accounts that were exponentially higher because of those undisclosed changes. As a result of today’s settlement with the bipartisan coalition led by New York, Connecticut, New Jersey, and the SEC, Vanguard will pay $106 million in restitution to hundreds of thousands of investors.
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SEC: Vanguard To Pay More Than $100 Million To Resolve Violations Related To Target Date Retirement Funds
Date 17/01/2025
The Securities and Exchange Commission today announced that The Vanguard Group, Inc. will pay $106.41 million to settle charges for misleading statements related to capital gains distributions and tax consequences for retail investors who held Vanguard Investor Target Retirement Funds (Investor TRFs) in taxable accounts. The settlement amount will be distributed to harmed investors.
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SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million From Advisory Clients
Date 17/01/2025
The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott J. Mason, and his companies Rubicon Wealth Management LLC and Orchard Park Real Estate Holdings LLC, with misappropriating more than $20 million from at least 13 Rubicon advisory clients.
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SEC Charges Paul McCabe And PMAC Consulting With Acting As Unregistered Brokers For Pre-IPO Stocks - McCabe Engaged In Unregistered Broker Activity After FINRA Bar
Date 17/01/2025
The Securities and Exchange Commission today announced that Paul John McCabe Jr. and his unregistered firm PMAC Consulting LLC have agreed to pay $3 million to resolve SEC charges for illegally brokering transactions involving the stock of private companies that were expected to undertake an initial public offering (IPO).
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The EBA Repeals The Guidelines On Major Incident Reporting Under The Revised Payment Services Directive
Date 17/01/2025
The European Banking Authority (EBA) today repealed its Guidelines on major incidents reporting under the Payment Services Directive (PSD2) due to the application of harmonised incident reporting under the Digital Operational Resilience Act (DORA) from 17 January 2025. The repeal of the Guidelines aims at simplifying the reporting of major incidents by payment service providers (PSPs) and providing legal certainty to the market.
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MIAX Exchange Group - Option Markets - Electronic Filing Of Annual Reports
Date 17/01/2025
The annual report filing described in MIAX Options, MIAX Pearl Options, MIAX Emerald Options, and MIAX Sapphire Options Rule 803 Audits, has transitioned to the electronic filing platform available via FINRA’s Firm Gateway.
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SEC Charges GrubMarket With Overstating Revenue To Investors By More Than $500 Million
Date 17/01/2025
The Securities and Exchange Commission today announced settled charges against GrubMarket Inc., a private, California-based e-commerce food distributor, for providing investors with financial information that the company should have known was unreliable and that overstated its historical revenues by approximately $550 million.
