Mukesh Asudani
SEC litigation release
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97 newest records · regulation
Robert Bernardi and Sunil Chandra
SEC litigation release
Trevon Brown, Craig Grant, and Michael Noble
SEC litigation release
Owen E.H. Meyer; Meyer Global Management LLC
SEC litigation release
Christopher Kenji Dinelli a/k/a Kenji Dinelli and Jacob David Frankel a/k/a Kobi Frankel
SEC litigation release
Travel + Leisure Co.
SEC litigation release
Lamar D. Fletcher
SEC litigation release
Federal Reserve Board finalizes changes to enhance the transparency and public accountability of its stress test and reduce volatility in its stress test-related capital requirements
Banking and Consumer Regulatory Policy
Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation
SEC litigation release
Cryptoaiml Ltd.; Cryptoaiml Capital Foundation; TSAI Pro Ltd.; TSAI Capital Foundation
SEC litigation release
Agencies publish resolution plan feedback letters for 15 banking organizations
Banking and Consumer Regulatory Policy
Chris Farrant
SEC litigation release
Cheryl R. Kramer
SEC litigation release
Jacob Garfinkel; 5G Funding LLC; Five G Funding LLC
SEC litigation release
Fan “Jocelyn” Yang; Jing Tian; Zijun Zhang; Shuchen Zhu; Chong Zhang; and Hanxiong Bo
SEC litigation release
Lloyd Anderson Wilson, C.P.A.
SEC litigation release
Kristopher A. Lunsford; AKL Transport LLC; Southern Truck Leasing LLC
SEC litigation release
Federal Reserve Board requests public comment on two proposals related to establishing a regulatory framework for Board-supervised payment stablecoin issuers under the GENIUS Act
Banking and Consumer Regulatory Policy
Manish Lachwani
SEC litigation release
Michael D. Williams and CMI Capital, LLC
SEC litigation release
Lawrence Billimek and Alan Williams
SEC litigation release
Michael T. Christensen
SEC litigation release
Michael Ayala; Wavemark Capital, LLC
SEC litigation release
Ellen Polcari
SEC litigation release
Jessica Richman and Zachary Apte
SEC litigation release
Jon P. Kipp
SEC litigation release
Ernest Ossei Boateng, Intercontinental Wealth Network, LLC, and I Wealth Network LP
SEC litigation release
Paul Thomas Croft, Jonathan David Frost, Matthew William Dira
SEC litigation release
Adam B. Rundle
SEC litigation release
Invesco Alpha Inc.
SEC litigation release
Agencies seek comment on proposed third-party risk management guidance and issue statement on community bank engagement with core service providers
Banking and Consumer Regulatory Policy
Paul W. Jorgensen
SEC litigation release
Agencies reduce regulatory burden for community banks, increase eligibility for 18-month exam cycle
Banking and Consumer Regulatory Policy
Justin Chen
SEC litigation release
Francisco Javier Sarabia
SEC litigation release
Institutional Shareholder Services, Inc.
SEC litigation release
Parker Terrill Austin; Embarcadero Capital Advisors, Inc.
SEC litigation release
Omar Dario Chavez
SEC litigation release
Trijya Vakil and Neeraj Visen
SEC litigation release
Waldon Fenster
SEC litigation release
Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan
SEC litigation release
Corey Ortiz
SEC litigation release
Mordechai Haim Ferder and Simba IL Holdings LLC, Defendants; Mordechai Haim Ferder and Edit Fintzi Ferder in Their Capacities as Trustees of the Haim Family Trust, TF 2021 Irrevocable Trust, and RF 2021 Irrevocable Trust, Relief Defendants
SEC litigation release
David T. Gilchrist, Christopher Aaron Novinger, Rebecca Novinger
SEC litigation release
Ichcoin Tech Corp.
SEC litigation release
False Forms ADV Filings
SEC litigation release
Stephen E. Buyer, et al.
SEC litigation release
Evarist C. Amah
SEC litigation release
GenesisAI Corp. and Archil Cheishvili
SEC litigation release
Mayur Baviskar
SEC litigation release
Gavin Wolfe; Jason Satsky, Defendants; and Evergreen Capital L.P., Evergreen Financial LLC, Empire Property Management LLC, GAW Holdings, LLC, SA 1055 LLC, SA 1057 LLC, SA 1082 LLC, and SA 1083 LLC, Relief Defendants
SEC litigation release
John “Jon” Isaac and Virland A. Johnson
SEC litigation release
1859 Operating, LLC; Centerfire Consulting, LLC; DMMD Marketing, Inc.; DM Sales Consulting, Inc.; The Slade Group, Inc.; Slade Marketing, Inc.; Adam Fieldsted; Dillon Murrow; Alison Slade; Dallin Slade; Duane Slade; and Mason Slade
SEC litigation release
Jesse R. Mitchell
SEC litigation release
Brian Keasberry
SEC litigation release
Daniel Chu; Jerome Kollar; Ameryn Seibold
SEC litigation release
Andrew Spaventa; The Spaventa Group LLC; TSG Capital Advisors LLC; TSG Alpha Partners LLC
SEC litigation release
Leor Moshe, Jacob Goldman, Isaac Odes
SEC litigation release
Benjamin Tesfaye
SEC litigation release
Goliath Ventures, Inc.; Christopher A. Delgado
SEC litigation release
John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc.
SEC litigation release
Frank M. Cerisano Jr.
SEC litigation release
Eric L. Munson; Adit Ventures Management, LLC, Adit Ventures, LLC, Adit Ventures II, LLC, and Adit Ventures III, LLC
SEC litigation release
James Brian Blaylock
SEC litigation release
Terren S. Peizer and Acuitas Group Holdings, LLC
SEC litigation release
Anthem Blanchard; Anthem Holdings Company
SEC litigation release
Christopher Vaughan
SEC litigation release
Wisdom Capital Management Group Ltd.
SEC litigation release
John A. DeSalvo
SEC litigation release
Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov
SEC litigation release
Adamant Stone Limited
SEC litigation release
Federal Reserve Board requests comment on a proposal to modernize rules for mutual banking organizations
Banking and Consumer Regulatory Policy
Federal Reserve Board requests comment on a proposal to modernize its rule governing the extension of credit to bank "insiders"—bank executives, board members and major shareholders who could potentially influence a bank's lending decisions
Banking and Consumer Regulatory Policy
RAD Diversified REIT, Inc.; Brandon “Dutch” Mendenhall; Amy Vaughn; and The Seminar Solution, LLC, Relief Defendant
SEC litigation release
Aras Investment Business Group S.A.P.I. de C.V.; Armando Gutierrez Rosas; Maria de Lourdes Tolentino Roque; Diayanira Rendon Trejo; Efren Quiroz Gardea; Luis Quiroz Gardea
SEC litigation release
Gauntlet Holdings, LLC; Darrell W. Rideaux; Ali Derakhshanfar; Sal N. Ortiz
SEC litigation release
Brian Kuzdas and John Rowland
SEC litigation release
Semisub, Inc.; Jamey Denise Jackson
SEC litigation release
Joshua A. Weiss
SEC litigation release
Zan Shaikh and Bright Vision Distribution LLC, d/b/a Mining Automatic
SEC litigation release
Jamal (“Jimmy”) Chammout; Ali El Siblani; Ali Jawad; Rabih Rakha
SEC litigation release
Shane Schmidt
SEC litigation release
American Patriot Brands, Inc.; Urban Pharms, LLC; TSL Distribution, LLC; DJ&S Property #1, LLC; Robert Y. Lee; Brian L. Pallas
SEC litigation release
Agencies issue joint statement on handling of highly sensitive information during bank examinations
Banking and Consumer Regulatory Policy
Michael J. Forster
SEC litigation release
Michael W. Patterson and Battle Motors, Inc.
SEC litigation release
YouPlus, Inc. and Shaukat Shamim
SEC litigation release
Steve M. Bajic et al.
SEC litigation release
Robert Yedid, Andrew Kaufman, and Mark Jacobs
SEC litigation release
Weiguo Zhai
SEC litigation release
Federal Reserve Board requests comment on a proposal to amend its requirements for banks to maintain anti-money laundering programs
Banking and Consumer Regulatory Policy
Quest Education L.L.C.; Daniel Blue; David Christopher White; Keitoh Jordan Spears
SEC litigation release
David Kushner and La Mancha Funding Corp.
SEC litigation release
Charles E. Jones
SEC litigation release
Agencies release list of distressed or underserved nonmetropolitan middle-income geographies
Banking and Consumer Regulatory Policy
AI Financial Education Foundation Ltd.
SEC litigation release
NanoBit Limited, et al.
SEC litigation release