Securities Fraud Attorney Daniel Carlson

02/27/2018

The Justice Department announced a nationwide sweep that resulted in over 200 criminal charges for financial crimes targeting the elderly.

Review of the Justice Department nationwide crackdown on the financial exploitation of senior investors and the supervisory implications for financial firms.

02/26/2018

Saudi Arabian authorities imposed about $83 million in penalties for insider trading in the shares of Etihad Etisalat.

Saudi Arabian authorities imposed about $83 million in penalties for insider trading in the shares of Etihad Etisalat (Mobily), the country's second-largest telecommunications operator, the securities regulator said on Monday.

02/26/2018

A Haltom City man who rejected a plea bargain agreement last year was sentenced to more than twice the time he was offered in September

A man found guilty of taking nearly $700,000 from 13 victims got 25 years in prison on Thursday, and authorities believe he may have victimized others

02/26/2018

Developer Woodbridge Group is under scrutiny from regulators. Now, its portfolio of 138 properties—including the famed Owlwood estate—may soon hit the market.

02/23/2018

Prosecutors say ex-head of Sunnyvale-based tech firm also made $800,000 using knowledge of impending sale.

Peter C. Chang, 59, of Los Altos, faces a maximum statutory penalty of 20 years in prison and a fine of $5 million when he is sentenced in May.

02/23/2018

SEC Chair Clayton warned insider trading by executives from undisclosed hacks and weak protections can pose cybersecurity risks to the reputation of a company.

SEC Chair Jay Clayton unveiled new cybersecurity guidance for publicly traded companies today, warning insider trading based on undisclosed hacks or weak cyber protections could harm a firm's reputation

02/23/2018

A Florida lawyer was sentenced to two years and three months in prison for engaging in insider trading.

A Florida lawyer was sentenced to two years and three months in prison on Thursday for engaging in insider trading based on information that he improperly obtained from his law firm's databases and also passed on to a friend.

02/22/2018

The firm can be held liable for an ex-lawyer's involvement in an alleged investment fraud scheme while he worked there a judge found.

02/22/2018

The fugitive cofounder of TelexFree Inc., a multibillion-dollar pyramid scheme based in Massachusetts, has had his Brazilian citizenship revoked.

By stripping Carlos Wanzeler of his citizenship, Brazilian authorities may be taking a step toward his extradition — a move that was recently employed with a fugitive Brazilian woman wanted in Ohio for her husband’s murder.

02/22/2018

The SEC voted to extend by six months the deadline by which open-end funds must comply.

The U.S. Securities and Exchange Commission voted on Wednesday to extend by six months the deadline by which open-end funds must comply with certain elements of the commission's liquidity risk management program rule.

02/21/2018

The U.S. Supreme Court refused to broaden protections for corporate insiders who call out misconduct.

The U.S. Supreme Court on Wednesday refused to broaden protections for corporate insiders who call out misconduct, ruling they must take claims of wrongdoing to the Securities and Exchange Commission in order to be shielded against retaliation.

02/21/2018

The SEC voted unanimously to approve a statement and interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents.

Press Release SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures FOR IMMEDIATE RELEASE 2018-22 Washington D.C., Feb. 21, 2018 — Yesterday, the Securities and Exchange Commission voted unanimously to approve a statement and interpretive guidance to assist pub...