March 9, 2021/US SEC The Securities and Exchange Commission today announced an award of approximately $1.5 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. “The whistleblower alerted the SEC to previously unknown conduct and thereafter provided multiple submissions, identified potential witnesses, and met […]
Frauds & Scandals
SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
March 5, 2021/US SEC The Securities and Exchange Commission today charged AT&T, Inc. with repeatedly violating Regulation FD, and three of its Investor Relations executives with aiding and abetting AT&T’s violations, by selectively disclosing material nonpublic information to research analysts. According to the SEC’s complaint, AT&T learned in March 2016 […]
SEC Charges Utah Resident with Defrauding Investors
March 5, 2021/US SEC The Securities and Exchange Commission today charged Craig C. Garrick, Jr. of Alpine, Utah, with defrauding investors by misappropriating their funds. According to the SEC’s complaint, Garrick induced investors to invest at least $450,000 in a company Garrick partially controlled, while concealing from the investors that […]
