SEC

Former Auditor’s Repeated Lies Over Backdated Documents Lead to SEC Sentence

Press Releases /

            Geoffrey S. Berman, the United States Attorney for the Southern District of New York, announced today that TERRY JOHNSON, a former auditor and owner of a registered public accounting firm, was sentenced to five months’ imprisonment for falsifying records in an investigation within the jurisdiction of a federal agency.  Specifically, JOHNSON submitted falsely backdated […]

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“Brazen” Concealing of Art and Antiques From Courts, SEC and Others Leads to Arrest

Law Firms /
"Brazen" Concealing of Art and Antiques From Courts, SEC and Others Leads to Arrest

    Preet Bharara, the United States Attorney for the Southern District of New York, Diego Rodriguez, the Assistant Director-in-Charge of the New York Field Office of the Federal Bureau of Investigation (“FBI”), and Philip R. Bartlett, Inspector-in-Charge of the New York Office of the U.S. Postal Inspection Service (“USPIS”), announced today that ROBERT A.

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SEC Staff Issues Interpretations on General Solicitation Prohibition

Briefing /
skadden arps lawfuel

 Skadden, Arps, Slate, Meagher & Flom LLP The staff of the SEC Division of Corporation Finance (Staff) recently issued new Compliance and Disclosure Interpretations (CDIs) and an interpretive letter regarding the general solicitation prohibition in securities offerings conducted under Rule 506(b) of Regulation D, which exempts such offerings from Securities Act registration. Some of the CDIs

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