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favicon sec.gov —  1+ day ago

The SEC Levels Up: Statement on In re Activision Blizzard

sec.gov > news > statement

...Statement on In re Activision Blizzard. Commissioner Hester M.... ...("Activision Blizzard").1 The Commission alleges no fraud, misrepresentations, omissions, or investor harm.... ...Specifically, the Commission finds that Activision Blizzard violated Exchange Act Rule 13a-15(a), which requires Activision Blizzard to have "disclosure... ...If accurate, the reported widespread workplace harassment at Activision Blizzard is deeply concerning, but it is not our concern.2 The Commission's...

favicon sec.gov —  1+ day ago

Statement of Renee Jones on her Tenure as Director of the Division ...

sec.gov > news > statement

...Statement of Renee Jones on her Tenure as Director of the Division of Corporation Finance.... ...On my final day as Division Director, I would like to extend my appreciation to the extraordinary staff of the Division of Corporation Finance for... ...I would also like to thank my talented leadership team, Erik Gerding, Cicely LaMothe, Lindsay McCord, Tomeka Gilbert, Jessica Kane, Betsy Murphy,... ...Michael Seaman, Barbara Jacobs, Dan Harty and Ted Yu, for their support and guidance over the past two years....

favicon sec.gov —  1+ day ago

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

sec.gov > news > press-release

...The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to... ...Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower... ...The SEC's investigation was conducted by Eric J. Day, Yamini Piplani Grema, and Daniel M.... ...Voorhees and Mr. Burt, also of the Denver Regional Office....

favicon sec.gov —  1+ day ago

Windsor Jones LLC and Anthony Collins

sec.gov > litigation

...The Securities and Exchange Commission filed fraud charges today against Windsor Jones LLC and its United Kingdom-based principal Anthony Collins... ...Windsor Jones LLC, Civil Action No. 23-cv-00841 (C.D. Cal., filed February 3, 2023).... ...As alleged in the complaint, in reality, Windsor Jones LLC used no more than 32% of the investors" money for the purchase and storage of wine, made... ...According to the SEC's complaint, between November 2017 and September 2021, Windsor Jones, through Collins, its sales representatives, and marketing...

favicon sec.gov —  2+ day ago

John C. Wilson II, et al.

sec.gov > litigation

...("Aether"), a Texas-based technology company, and its CEO John C. Wilson II ("Wilson").... ...Securities and Exchange Commission v. Wilson II, et al., No. 4:22-cv-00741-O (N.D. filed Aug. 23, 2022). On January 12, 2023, the U.S.... ...The SEC's investigation that led to this action was conducted by Timothy Work, Elizabeth Doisy, and Brian Palechek, and supervised by George Bagnall... ...The litigation was led by Gregory Miller and supervised by James Connor....

favicon sec.gov —  1+ day ago

Annetta Budhu

sec.gov > litigation

...SEC Obtains Final Judgment in Microcap Fraud Litigation. Litigation Release No. 25631 / February 3, 2023. Securities and Exchange Commission v.... ...According to the SEC's complaint, Budhu was involved in a fraudulent scheme to inflate the price and volume of the stock of Arias Intel Corp.... ...The SEC's litigation is being handled by Christopher Dunnigan, Christine Ely, and Lindsay Moilanen of the New York Regional Office and is being supervised... ...Attorney's Office for the Southern District of California and the Federal Bureau of Investigation....

favicon sec.gov —  1+ day ago

Activision Blizzard, Inc.

sec.gov > litigation > admin

favicon sec.gov —  2+ day ago

Nathaniel Clay

sec.gov > litigation > admin

favicon sec.gov —  2+ day ago

SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations

sec.gov > news > press-release

...through the office's oversight of Nationally Recognized Statistical Rating Organizations," said SEC Chair Gary Gensler.... ...The Securities and Exchange Commission today published a staff report that provides a summary of the staff's examinations of nationally recognized... ...Price, Director of the Office of Credit Ratings.... ..."Through the 2022 staff report, the OCR continues its work to ensure credit ratings are accurate, reliable, and fair."....

favicon sec.gov —  2+ day ago

Steven J. Susoeff and Steve Susoeff, LLC (dba Meritage Financial Group)

sec.gov > litigation

...The Securities and Exchange Commission today charged Steve Susoeff, LLC (dba Meritage Financial Group), a Henderson, Nevada-based investment adviser... ...Susoeff and Steve Susoeff, LLC (dba Meritage Financial Group), Civil Action No. 2:23-cv-00173 (D. 1, 2023).... ...As alleged, Hobbs placed the securities trades early in the trading day but did not allocate the trades to specific clients or Susoeff's personal... ...According to the SEC's complaint, from January 2021 through July 2021, Susoeff placed securities trades using Meritage's omnibus trading account,...



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