SEC v. Zachary Miller - Administrative and Cease-and-Desist Proceedings

The SEC has instituted administrative and cease-and-desist proceedings against Zachary Miller for acting as an unregistered broker in connection with fraudulent and unregistered securities offerings. Miller allegedly raised approximately $18.3 million from investors.

SEC Institutes Proceedings Against Canaccord Genuity LLC for Failing to File SARs

The SEC has instituted administrative and cease-and-desist proceedings against Canaccord Genuity LLC for failing to file approximately 150 Suspicious Activity Reports (SARs) related to its equity trading activities between February 2019 and March 2022. The firm allegedly failed to maintain an adequate AML surveillance program.

SEC charges EisnerAmper LLP with improper professional conduct

The SEC has instituted administrative and cease-and-desist proceedings against EisnerAmper LLP for improper professional conduct during its 2020 audit of the Infinity Q Diversified Alpha Fund. The firm allegedly failed to obtain sufficient understanding of internal controls, gather adequate evidence, and exercise due professional care, violating PCAOB auditing standards.

SEC Institutes Cease-and-Desist Proceedings Against NYSE

The SEC has instituted cease-and-desist proceedings against the New York Stock Exchange (NYSE) LLC. This action stems from a critical systems disruption on January 24, 2023, which caused NYSE to fail to run opening auctions for 2,824 securities, leading to market-wide impacts including thousands of busted trades.

SEC Bars Joel Castellanos for Unregistered Securities Sales

The SEC has barred Joel Castellanos from associating with any broker, dealer, or other regulated entity. Castellanos was found to have solicited and raised at least $25.2 million from over 1,222 investors through unregistered securities sales, acting as a sales agent for MJ Capital Funding, LLC.

Delaware Court of Chancery Land Dispute Ruling

The Delaware Court of Chancery issued a final ruling in a land dispute case (C.A. No. 2023-0601-LM). The court granted plaintiffs' claim for adverse possession regarding a portion of the disputed land, while denying their other claims for prescriptive easement or easement by necessity.

In re Trust of Marsha Milot - Trust Information Dispute

The Vermont Supreme Court ruled on a trust dispute concerning a beneficiary's right to information. The court reversed and remanded a lower court's decision, finding that while the trust remains revocable, the beneficiary is not entitled to all information sought under the Vermont Trust Code, but the probate division erred by not considering a request to amend the complaint to seek the removal of a co-trustee.

Hawai'i Government Employees Association v. Department of Public Safety - Order of Correction

The Intermediate Court of Appeals of the State of Hawai'i has issued an order of correction for its opinion in Hawai'i Government Employees Association v. Department of Public Safety. The correction involves minor edits to specific words and punctuation within the published opinion.

McAneeley v. Fukushima - Injunction Against Harassment Appeal

The Intermediate Court of Appeals of the State of Hawaiʻi issued a summary disposition order in the case of McAneeley v. Fukushima. The appeal concerned an injunction against harassment, with the appellant raising issues of due process and freedom of speech. The court affirmed the lower court's decision.

Sandomire v. Brown - Order Rejecting Writ of Certiorari

The Supreme Court of the State of Hawaiʻi has rejected an application for a writ of certiorari filed by Petitioners/Defendants-Appellants David Edward Brown and Lanhua Kao Brown in the case Sandomire v. Brown. This order, issued on March 6, 2026, signifies the final disposition of the certiorari request.