• Posts by Robert D. Conca, Esq.
    Partner

    Robert Conca has over 19 years of experience advising businesses and financial professionals. He has acted both in legal counsel and senior executive capacities for companies spanning all stages of development. From start-ups to ...

The Securities and Exchange Commission ("SEC") has charged two Prudential subsidiaries with a failure to monitor and report conflicts of interest that proved costly to fund shareholders.

The Securities and Exchange Commission (“SEC”) filed charges against Reginald “Reggie” Middleton and two entities he owns for allegedly committing a fraudulent digital token sale scheme.

The Securities and Exchange Commission ("SEC") announced it had settled charges against State Street Bank and Trust for overbilling mutual funds and other investment company clients by more than $170 million over a 17-year period.

With the passing of every month, the investment industry sees another round of enforcements involving the mishandling of initial coin offerings ("ICOs"). The still nascent landscape of cryptocurrency investing continues to pose significant difficulties for investors, firms, and regulatory...

Posted in Cryptocurrency, ICOs

The developing market of virtual currencies and online trading continues to present difficulties for the financial investment industry. In late April 2019, the Securities and Exchange Commission (SEC) released an investor alert that advised extreme caution surrounding digital asset...

By: Robert D. Conca, Esq., Partner Throughout any financial professional's career transitions are inevitable and an integral part of the transition is the filing of a Form U5. For those who are unaware, Form U5 is a formal documentation...

In a March 26, 2019 press release, the Securities and Exchange Commission ("SEC") announced awards to two whistleblowers under the Dodd-Frank Act, one receiving $37 million and the other $13 million, whose critical information led to a successful enforcement action...

Deloitte Touche Tohmatsu LLC, commonly referred to as Deloitte Japan, has agreed to pay $2 million in settlement charges to the Securities and Exchange Commission ("SEC") for violating the SEC's auditor independence rules. According to the SEC, Deloitte Japan...

Posted in Disclosures

The SEC's Division of Enforcement continues its efforts to protect retail investors, gaining reparations for victimized investors in an action against yet another Ponzi scheme. At the end of January, the Securities and Exchange Commission (SEC) announced that the...

In a long-awaited development, the SEC has adopted its final rule "requiring companies to disclose, in proxy or information statements for the election of directors, any practices or policies allowing employees or directors to engage in certain hedging transactions...

Recent Posts

Topics

Archives

Contributors

Jump to Page

This website uses cookies to enhance your browsing experience and improve functionality. By continuing to browse this website, you are accepting our use of cookies in accordance with our privacy policy.