Articles Posted in SEC

SEC Settles Charges Against Momentum Advisors LLC for Fiduciary Duty Breaches: What Investors Need to Know
Iorio Law PLLC
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On March 7, 2025, the Securities and Exchange Commission (SEC) announced settled charges against Momentum Advisors LLC, a New York-based registered investment advisory firm, along with its former managing partner Allan J. Boomer and former chief operating officer Tiffany L. Hawkins. The SEC’s orders detail serious breaches of fiduciary duty, including the misuse of client…

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Did Robinhood Employees Trade Gamestop and Amc Before Robinhood’s Public Announcement to Restrict Trading on January 28, 2021?
Iorio Law PLLC

On September 1, 2021, Robinhood ($Hood) filed its first amendment to its Form S-1 Registration Statement with the U.S. Securities and Exchange Commission (“SEC”). The public filing, which amends the registration statement that Robinhood filed in connection with its July 2021 initial public offering (IPO), discloses that the SEC’s Division of Examinations and the Financial…

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