May 20, 2021/US SEC On May 19, 2021, the Securities and Exchange Commission charged broker-dealer BTIG, LLC with repeatedly violating the order-marking and locate provisions of Regulation SHO, which regulates the short-selling of securities. According to the SEC’s complaint, from December 2016 through July 2017, BTIG violated Rule 200(g) of […]
Frauds & Scandals
SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions
May 19, 2021/US SEC The Securities and Exchange Commission today announced an award to a whistleblower totaling more than $28 million in connection with an SEC enforcement action and a related action by another federal agency. The whistleblower’s information caused both the SEC and the other agency to open investigations […]
SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
May 19, 2021/US SEC The Securities and Exchange Commission today charged a New Jersey-based healthcare company and its founder with fraudulently raising nearly $4 million from over 130 investors nationwide through the sale of membership units in the company. According to the SEC’s complaint, since July 2017, Premier Healthcare Solution LLC […]
