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Monthly Archives: August 2019
Richard G. Duncan
Litigation Release No. 24558 / August 12, 2019 Securities and Exchange Commission v. Richard G. Duncan, No. 1:19-CV-11735 (D. Mass. filed (August 12, 2019) The Securities and Exchange Commission filed an enforcement action on August 12, 2019 in federal court in Springfield, Massachusetts, charging investment adviser Richard G. Duncan, a resident of East Longmeadow, Massachusetts, […]
Mark E. Burns
Litigation Release No. 24557 / August 12, 2019 Securities and Exchange Commission v. Mark E. Burns, No. 1:18-cv-06257 (S.D.N.Y. filed July 11, 2018) On August 5, 2019, the U.S. District Court for the Southern District of New York entered a final judgment against Mark E. Burns for his participation in a scheme to manipulate the […]
Comptroller of the Currency Tours Atlanta Areas Where the Community Reinvestment Act Has Benefitted the Community and Where More Can Be Done
News Release 2019-88 | August 9, 2019 Share This Page: WASHINGTON—Comptroller of the Currency Joseph Otting, today visited Atlanta to tour neighborhoods that have benefitted from activities encouraged by the Community Reinvestment Act (CRA) and areas that could benefit from additional CRA activity. “Today, we saw what great things can be accomplished when banks, civil rights […]
Tanmaya Kabra et al.
Litigation Release No. 24556 / August 8, 2019 Securities and Exchange Commission v. Tanmaya Kabra et al., No. 1:19-cv-11676 (D. Mass. filed August 5, 2019) The Securities and Exchange Commission today announced that it has obtained a temporary restraining order and asset freeze against defendants Tanmaya (a/k/a Tan) Kabra and LaunchByte.io, LLC in the SEC’s […]
Jerry Lee Farish and New Summit Homes, Inc.
Litigation Release No. 24555 / August 8, 2019 Securities and Exchange Commission v. Jerry Lee Farish and New Summit Homes, Inc., No. 4:19-cv-623 (N.D. Tex., filed August 8, 2019) On August 8, 2019, the Securities and Exchange Commission charged North Texas-based New Summit Homes, Inc. (“NSH”) and its de facto Chief Executive Officer, Jerry Lee […]
Operator of Email Management Service Settles FTC Allegations that it Deceived Consumers About How it Accesses and Uses Emails
An email management company will be required to delete personal information it collected from consumers as part of a settlement with the Federal Trade Commission over allegations that the company deceived some consumers about how it accesses and uses their personal emails. In a complaint, the FTC alleges that Unrollme Inc., falsely told consumers that […]
Statement on Retirement of Lynnette Kelly
Aug. 7, 2019 Yesterday, the Municipal Securities Rulemaking Board (MSRB) announced that Lynnette Kelly, President and CEO, will be retiring. Lynnette has been an effective leader at the MSRB for over a decade, and has overseen numerous important initiatives for the benefit of our markets and our investors. Lynnette has also been a valued partner […]
HKEX to Introduce Weekly Index Options from 16 September
Weekly HSI and Weekly HSCEI Options to be introduced from 16 September, subject to regulatory approval Two Weekly Index Options contracts will be offered – spot week and next week Commission Levy exempted in first six months Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce that it plans to introduce Weekly […]
FTC Requires Divestitures and Imposes Conditions on Boston Scientific Corp.’s Acquisition of BTG plc
Medical device company Boston Scientific Corp. has agreed to divest certain assets to Varian Medical Systems to settle Federal Trade Commission charges that Boston Scientific’s proposed $4.2 billion acquisition of medical equipment and pharmaceutical supplier BTG plc would violate federal antitrust law. The FTC alleges that, as proposed, Boston Scientific’s acquisition of BTG would harm […]