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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

SEC Division of Examinations announces list of priorities for 2023

On Behalf of Lewitas Hyman PC | Feb 15, 2023 | Securities and Compliance

The Securities and Exchange Commission’s Division of Examinations announced its priorities for 2023 in a recent news release. The division’s priorities are published each year to provide an overview of the steps it will be taking to protect investors and the integrity...

SEC charges venture capital firm and its CEO with fraudulent selling of securities

On Behalf of Lewitas Hyman PC | Dec 19, 2022 | Securities and Compliance

A venture capital firm and its CEO and co-founder have been charged with defrauding dozens of investors, the Securities and Exchange Commission announced. In a complaint filed in United States District Court in Georgia, the SEC alleged that 29-year-old George Iakovou...

SEC announces 9% increase in enforcement actions for fiscal year 2022

On Behalf of Lewitas Hyman PC | Nov 29, 2022 | Securities and Compliance

The Securities and Exchange Commission has issued a report on its enforcement results for the fiscal year 2022. In a news release, the SEC said it had filed a total of 760 enforcement actions for the year, a 9 percent increase from fiscal year 2021. The commission...

SEC awards over $10 million to whistleblower who contributed to enforcement action

On Behalf of Lewitas Hyman PC | Nov 11, 2022 | Securities and Compliance

The Securities and Exchange Commission has announced the latest award in its whistleblower program that issues payments to those who help the commission identify possible fraud and other violations. In a news release, the SEC said it had awarded over $10 million to a...

Former chief financial officer sentenced to prison for embezzling from his firm

On Behalf of Lewitas Hyman PC | Nov 7, 2022 | Securities and Compliance

A federal judge in North Carolina has sentenced a company’s former chief financial officer for stealing money from his firm, Insurance NewsNet reports. 62-year-old Samuel Allen Mouzon, who was CFO for a company in High Point, North Carolina for about 20 years, was...

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