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Tag Archives: SEC

May 28

Why an SEC Whistleblower Lawyer Matters: $6 Million Award Highlights Program’s Power

SEC Whistleblower Lawyers Secure $6 Million Award On April 21, 2025, the Securities and Exchange Commission (“SEC”) announced a $6 million award to joint whistleblowers who disclosed information that launched an examination and provided a clear framework that contributed to a successful enforcement action. “Today’s award illustrates that the agency can leverage whistleblower information in various ways, including by prompting an examination,” said Jonathan Carr, the Acting Chief of the…

April 09

Securities

SEC Charges NJ Adviser with Fraud, Breach of Fiduciary Duty

The Securities and Exchange Commission (SEC) announced that it has filed charges against David Yow Shang Chiueh and his New Jersey-based investment advisory firm, Upright Financial Corp. (UFC) (“Defendants”), for fraud and breach of fiduciary duty, among other securities law violations. In November 2021, the firm settled charges that they had breached the fiduciary duties outlined in the Concentration Policy of its mutual fund, known as Upright Growth Fund, by…

February 27

FINRA, Securities

SEC Enforcement Actions Target Hedge Fund Fraud in Washington, D.C.

On February 26, 2025, the Securities and Exchange Commission (“SEC”) announced in a press release that it charged Alan Burak, the founder and sole member of purported “systemic asset management firm” Never Alone Capital LLC (“Never Alone”), with orchestrating a fraudulent scheme that amassed close to $4 million, the majority of which Mr. Burak used for personal expenses. According to the complaint filed by the SEC, between at least 2018…

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