SEC Rule 10b-5 l Securities Lawyer 101
SEC Rule 10b-5 is the primary anti-fraud provision of the federal securities laws. It was adopted pursuant to Section 10(b) of the Securities Exchange Act of 1934 (“1934 Act”), as amended and is the primary rule used in securities… Read More
Category: Going Public
The Securities Laws That Apply to Crowdfunding – Rules and Regulations
If you intend to raise money using the regulations for crowdfunding or take your company public, you will need to understand how the SEC’s registration statement requirements work, and how you may be able to raise money from the correct application of federal and state exemptions from registration. Crowdfunding is the solution…
Category: Tags: Crowdfund, Crowdfunding, Crowdfunding Capital Raise, Crowdfunding Disclosures, Crowdfunding Financing, Crowdfunding Lawyer, Crowdfunding Regulation, Crowdfunding Rules, Form C, Regulation CF, Regulation CF Attorney, Regulation CF Attorneys, Regulation CF Capital Raise, Regulation CF Crowdfunding, Regulation CF Funding, Regulation CF Law Firm, Regulation CF Lawyer, Regulation CF Lawyers, Regulation CF offering, Regulation CF Requirements, Regulation Crowdfunding, Regulation Crowdfunding Attorney, Regulation Crowdfunding attorneys, Regulation Crowdfunding Lawyers, Regulation Crowdfunding Offering, Regulation Crowdfunding Reporting, Regulation Crowdfunding Requirements, Regulation Crowdfunding SEC Reporting, Regulation Crowdfunding Securities Offering, SECTION 4(A)6
Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers
A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling…
Category: Blog Posts Tags: Regulation SHO, Rule 204T, Short Sale, Short Seller, Short Selling
When Private Placements Go Public – Rule 506-c Attorneys
Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going public.
Category: Blog Posts Tags: Accredited Investor, Accredited Investor Verification, Accredited Investor Verification Provider, Crowdfund, Crowdfunding, Crowdfunding Capital Raise, Crowdfunding Financing, Crowdfunding Lawyer, Form C, Private Placement, Regulation CF, Regulation CF Attorney, Regulation CF Attorneys, Regulation CF Capital Raise, Regulation CF Crowdfunding, Regulation CF Funding, Regulation CF Law Firm, Regulation CF Lawyer, Regulation CF Lawyers, Regulation CF offering, Regulation CF Requirements, Regulation Crowdfunding, Regulation Crowdfunding Attorney, Regulation Crowdfunding attorneys, Regulation Crowdfunding Lawyers, Regulation Crowdfunding Offering, Regulation Crowdfunding Reporting, Regulation Crowdfunding Requirements, Regulation Crowdfunding SEC Reporting, Regulation Crowdfunding Securities Offering, Regulation D, Rule 506, Rule 506 (b), Rule 506-c, Rule 506(c), SECTION 4(A)6
SEC Obtains Over $5 Million Final Judgment Against Charlie Abujudeh in Multi-Million Dollar Microcap Pump and Dump Scheme
On January 20, 2023, the U.S. District Court for the Eastern District of New York entered a final judgment against California resident Charlie Abujudeh whom the SEC had charged for his role in a microcap fraud scheme targeting… Read More
Category: Blog Posts Tags: beatpennystocks, Boiler Room, BRZL, CannaPharmaRx Inc, Charlie Abujudeh, CPMD, CZA Inc, dearwallstreet, Dodd Frank Bounty, dodd-frank, HQ Global Education Inc, HQGE, IBGR, Indictment, Intermarket Associates LLC, ITNS, Itonis Inc, makepennystocksgreatagain, market risking llc, marketprofitcenter, Nexus Energy Services Inc, Odyssey Group International Inc, ODYY, Penny stocks, phone center, protraderelite, Quantum Capital Funding LLC, Scepter Holdings Inc, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Stock Promotion, stockoftheweek, thewolfofpennystocks, trading suspension, Unregistered Dealer
SEC Obtains Judgment Against Todd Zinkwich
On January 12, 2023, the U.S. District Court in Boston entered a final judgment by consent against Florida resident Todd Zinkwich, whom the SEC charged for engaging in a scheme to manipulate the market for numerous microcap stocks…. Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, Eric Landis, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Todd Zinkwich
SEC Charges Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco for their roles in a fraudulent scheme to mislead investors about Cool Holdings, Inc
On January 6, 2023, the Securities and Exchange Commission (“SEC”) announced charges against five individuals for their roles in a fraudulent scheme to mislead investors about Cool Holdings, Inc., a publicly-traded company (“Cool”). The SEC alleges that, from… Read More
Category: Blog Posts Tags: Andrew DeFrancesco, Bankruptcy, Carlos Felipe Rezk, Catherine DeFrancesco, Cool Holdings Inc, Dodd Frank Bounty, dodd-frank, fraud, Marlio Mauricio Diaz Cardona, Nikola Faukovic, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simply Inc, SIMPQ
SEC Defendant and FBI Fugitive Justin Costello Arrested
On October 4, 2022, SEC Defendant and FBI fugitive Justin Costello was arrested by an FBI SWAT team. Costello had been on the run from authorities as a fugitive since September 29th after failing to surrender to authorities… Read More
Category: Blog Posts Tags: and Canal Capital, and Marijuana Company of America, arrest, Brenda Meckley, Broker, Cannabis Global Inc, Cannabis Strategic Ventures, CBGL, CCSAC Inc, Clancy Systems International Inc, CLSI, Complaint, computerbux, COWP, COWPP, Criminal Indictment, David Ferrero, DCGD, Department of Justice, Discovery Gold Corp, fbi, Foothills Exploration Inc, fraud, FTXP, fugitive, GRN Funds LLC, GRN Holding Corporation, GRNF, Hempstract Inc, HMLA, Homeland Resources Corp, HPST, IHUB, Inc, James Meckley, Justin Costello, Katrina Rosseini, LVCA, M.J. Holdings, marijuana, MCOA, MCTC, MCTC Holdings Inc, MJNE, NUGS, OBCN, Obocon Inc, Pacific Banking Corp, Penny Stock, prison, Pump, REMSleep Holdings Inc, Riverdale Oil and Gas Corporation, RMSL, RVDO, scam, SEC, Section 10(b), Section 17(a), Securities and Exchange Commission, Social Media, Stock Promotion, SWAT, Terri Buhl, Twitter, Utopia Capital Research, Victoria Lake Inc, White Diamond Research
SEC Charges Simon Piers Thurlow, Roger Leon Fidler, Richard Oravec, Bradley Fidler, Bryce Emory Boucher, Joseph D. Jordan in Illegal Microcap Offering
On September 15, 2021, the Securities and Exchange Commission (the “SEC”) charged Simon Piers Thurlow, Richard Oravec, Bryce Emory Boucher, attorney Roger Leon Fidler, and his son, Bradley Fidler, for fraud and illegally offering unregistered securities. The SEC… Read More
Category: Blog Posts Tags: Bradley Fidler, Bryce Emory Boucher, Dodd Frank Bounty, dodd-frank, Dolat Ventures Inc, DOLV, Going Public, JB&ZJMY Holding Company Inc, JBZY, Joseph D Jordan, Pivo Assoc. Inc, Richard Oravec, Roger Leon Fidler, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Simon Piers Thurlow, trading suspension, Unregistered Dealer, Western Bankers Capital Inc
SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme known as Forsage
August 1, 2022 — The Securities and Exchange Commission (the “SEC”) today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions… Read More
Category: Blog Posts Tags: Alisha R Shepperd, Binance blockchains, Carlos L Martinez, Cheri Beth Bowen, cryptocurrency, Dodd Frank Bounty, dodd-frank, ethereum, Forsage, fraud, Lola Ferrari, Mark F Hamlin, Mikhail Sergeev, Philippines, ponzi scheme, pyramid scheme, Russia, Samuel D Ellis, Sarah L Theissen, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sergey Maslakov, trading suspension, Tron, Unregistered Dealer, Vladimir Okhotnikov
SEC Charges Bradley Moynes and Digatrade Financial Corp in Fraudulent Microcap Scheme
On June 27, 2022, the Securities and Exchange Commission (the “SEC”) charged Canadian citizen Bradley Moynes and Canadian corporation Digatrade Financial Corp. for engaging in a deceptive scheme involving microcap companies that generated more than $1.5 million in… Read More
Category: Blog Posts Tags: Bradley Moynes, Chester Alvarez, Colombia, DIGAF, Digatrade Financial Corp, Dodd Frank Bounty, dodd-frank, Formcap Corporation, Francis Biller, Frederick Sharp, FRMC, Luis Carrillo, Money Laundering, Raymond Dove, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Vencap Ventures Inc
SEC Charges Trends Investments Inc., Clinton Greyling and Leslie Greyling
On June 9, 2022, the Securities and Exchange Commission (the “SEC”) charged Trends Investments Inc. and five individuals, Clinton Greyling of Florida, Leslie Greyling (Clinton’s father, a resident of the United Kingdom), former Massachusetts resident Brandon Rossetti, Roger… Read More
Category: Blog Posts Tags: ABTI, Adiba Khalik, Adiba Rezaei, Alterola Biotech Inc, Anne M E Greyling, Brandon Rossetti, Bulls Run Investments Limited, Cennet Investments Limited, Clinton Greyling, Crystalmount Limited, Dheeraj Jain, Dodd Frank Bounty, dodd-frank, Domenic Calabrigo, E-Pawn.com, EPWN, Future Trends Ltd, Jeffrey D Martin, Lalit Kumar, Leslie Greyling, London Pharma Holdings Limited, Members Service Corp, MENC, Millennium Energy Corp, Nankalamu Martin, Norfolk Hights Ltd, Pacific Media Group Enterprises Inc, Peter Maddocks, Rajesh Taneja, Roger Bendelac, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Steve M Bajic, Thomas Capellini, TKCM, Token Communities Ltd, Total Investment Holding Ltd, trading suspension, Trends Investments Inc, Unregistered Dealer
SEC obtains asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow
On May 16, 2022, the Securities and Exchange Commission (the “SEC”) obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D…. Read More
Category: Blog Posts Tags: Brian K. Martinsen, Dodd Frank Bounty, dodd-frank, Eric D. Lachow, Form F-1, Form S-1, Francine A. Lanaia, Going Public, Michael A. Castillero, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, StraightPath Management LLC, StraightPath Venture Partners LLC, trading suspension, Unregistered Dealer
SEC Obtains Final Judgment Ordering Frederick Sharp to Pay $52,925,214
On Friday, May 12, 2022, the Securities and Exchange Commission announced that it obtained a final judgment against Canadian resident Frederick L. Sharp. In August 2021, the SEC charged Sharp with leading a fraudulent scheme that generated hundreds… Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, Frederick L Sharp, Frederick Sharp, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcemen, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
Attorneys Gone Wild: Shawn Hackman, Elaine A. Dowling, and Harold P. Gewerter
On April 29, 2022, the Securities and Exchange Commission obtained a judgment against Shawn Hackman, who was previously disbarred by the State of Nevada and suspended by the SEC, ordering him to comply with the SEC’s suspension order… Read More
Category: Blog Posts Tags: attorney, box jobs, Daniel Chapman, Dodd Frank Bounty, dodd-frank, Elaine A Dowling Esq, Genovese, Harold P Gewerter Esq, Herbert Jacobi, James Farrell, Peter Berney, pump and dump, Robert Potter, scam, Sean Flanagan, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Shawn Hackman, shell hijacker, trading suspension, Unregistered Dealer
SEC Files Charges Against Michael Forster
On May 4, 2022, the Securities and Exchange Commission (the “SEC”) filed a complaint alleging Michael Forster engaged in manipulative trading in connection with a microcap issuer he controlled, Cuba Beverage Company (CUBV), a purported energy drink company…. Read More
Category: Blog Posts
SEC Charges Anthony Salandra in Market Manipulation Scheme
The Securities and Exchange Commission today announced charges against Anthony Salandra, for his role in a market manipulation scheme in which he and several other individuals created false rumors about public companies in order to profitably trade around… Read More
Category: Blog Posts Tags: Anthony Salandra, Barton Ross, Dodd Frank Bounty, dodd-frank, Mark Melnick, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
SEC Obtains Final Judgments from Chrysilios Chrysiliou and Panagiotis Bolovis for Their Roles in $45 Million Fraudulent Scheme
On April 4, 2022, the U.S. District Court for the Southern District of New York entered final judgments against Chrysilios Chrysiliou and Panagiotis Bolovis for their respective roles in a fraudulent scheme to gain control of Airborne Wireless… Read More
Category: Blog Posts Tags: ABWN, Airborne Wireless Network, Ample-Tee Inc, Andrew J Befumo, Chrysilios Chrysiliou, Dodd Frank Bounty, dodd-frank, Eric Scheffey, Kalistratos Kabilafkas, Kelly Kabilafkas, Moshe Rabin, nominees, OTC Markets, Panagiotis Bolovis, Penny stocks, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Thailand, Tim Kabilafkas, Timoleon "Kabilafkas, trading suspension
SEC Charges Michael M Beck (aka BigMoneyMike) with Penny Stock Fraud
The Securities and Exchange Commission charged Michael M. Beck for using his Twitter handle, @BigMoneyMike6, to deceive investors into buying penny stocks that he recommended, even though he secretly planned to sell those stocks and, in some cases,… Read More
Category: Blog Posts Tags: BigMoneyMike, BigMoneyMike6, Canadian Aerospace Group International Inc, CASG, Dodd Frank Bounty, dodd-frank, Helen P Robinson, Maison Luxe Inc, MASN, Michael M Beck, MK Automotive Inc, MKAU, Music for Your Life, MYLY, Peoplesway.com Inc, Pick-Ups Plus Inc, PLWY, PUPS, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, TeamBillionaire, The Marquie Group Inc, TMGI, trading suspension, UCSO, United Consortium Ltd, VIDA, Vidaroo Corp, Zann Corp, ZNNC
SEC Charges Webcast Host Mark Melnick for His Role in Market Manipulation Scheme
On September 30, 2021, the Securities and Exchange Commission (the “SEC”) announced charges against Mark Melnick, a day trader and T3 Live Senior Trading Strategist for spreading more than 100 false rumors about public companies in order to… Read More
Category: Blog Posts Tags: Barton Ross, Dodd Frank Bounty, dodd-frank, fake news, Mark Melnick, Newsbeat Live, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock manipulation, stock rumors, T3 Live, Trading Psychology, trading suspension
SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”
Today, the Securities and Exchange Commission charged a Florida resident and his friend for engaging in a fraudulent scheme designed to collect liquidity rebates from exchanges by wash trading put options of certain “meme stocks” in early 2021…. Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, options, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Suyun Gu, trading suspension, Unregistered Dealer, wash trading, Yong Lee
SEC Obtains Default Judgment in Edgar Hacking Case
On July 29, 2021, the United States District Court for the District of New Jersey entered a default judgment against Oleksandr Ieremenko and Andrey Sarafanov, who were charged in connection with a scheme to trade on nonpublic earnings… Read More
Category: Blog Posts Tags: Andrey Sarafanov, Business Wire, Dodd Frank Bounty, dodd-frank, EDGAR system, hacker, hacking scheme, Marketwired, Most Wanted, Newswire, Oleksandr Ieremenko, reward, Russia, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Ukraine, United States Secret Service, Unregistered Dealer
SEC charges former CEO and CFO of FTE Networks, Inc with accounting fraud
Today, July 15, 2021, the Securities and Exchange Commission (the “SEC”) charged the former CEO and CFO of FTE Networks, Inc. (“FTE”), a network infrastructure company formerly based in Naples, Florida, with conducting a multi-year accounting fraud. The… Read More
Category: Blog Posts Tags: Accounting Fraud, Convertible Notes, David Lethem, Dodd Frank Bounty, dodd-frank, embezzlement, fraud, FTE, FTE Networks Inc, Indictment, Michael Palleschi, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Unregistered Dealer
SEC Charges Three Individuals with Insider Trading
On July 9th, the Securities and Exchange Commission (the “SEC”) charged three individuals with insider trading in advance of an announcement by Long Blockchain Company (formerly known as Long Island Iced Tea Co.) that it was going to… Read More
Category: Blog Posts Tags: Andrew Hackett, Annetta Budhu, Arias Intel Corp, Dodd Frank Bounty, dodd-frank, Eco Science Solutions Inc, Eric Watson, ESSI, Gannon Giguiere, insider trading, Kelvin Medical Inc, Kevin Gillespie, Kuldeep Sidhu, KVMD, LBCC, Long Blockchain Company Long Island Iced Tea Co, LTEA, Luke Zouvas, Michael Forster, Oliver Barret-Lindsay, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Unregistered Dealer, Vikram Khanna
SEC Charges Mark Miller for Hijacking Inactive Penny Stock Companies to use for Pump & Dump Schemes
On Friday, June 18th, the SEC filed a Complaint in the United States District Court for the District of Minnesota against Minnesota resident, Mark Allen Miller, for engaging in a fraudulent scheme to target at least seven inactive penny-stock companies with the intention of profiting through pump & dump activity.
Category: Blog Posts Tags: Andre Jaberian, BBDA, Bebida Beverage Company, Bell Buckle Holdings Inc, BLLB, Christopher James Kajkaran, Criminal Indictment, DIGI, Digitili Inc, Dodd Frank Bounty, dodd-frank, doj, ECMH, Encompass Holdings Inc, Fake, False press release, Gary Koutalas, GBEN, Global Resource Energy Inc, hijacking, LEAS, Mark Allen Miller, Mark Miller, Marketing Worldwide Inc, MEDH, Medx Holdings Inc, MWWC, New World Gold Corp, NWGC, Penny Stock, pump and dump, Saied Jaberian, SAPX, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC suspension, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Seven Arts Entertainment Inc, Simulated Environment Concepts Inc, SMEV, stock manipulation, Strategic Assert Leasing Inc, trading suspension, Twitter, UITA, Utilicraft Aerospace Industries Inc
SEC Charges RenovaCare, Inc and its Controlling Shareholder with Securities Fraud
On May 28, 2021, the SEC charged RenovaCare Inc (RCAR) and its controlling shareholder, Harmel S. Rayat, with securities fraud for intentionally concealing Rayat and the company’s role in promotional activities, including by drafting and issuing a press release that denied their participation in those activities.
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, Harmel S Rayat, OTC Markets, Penny Stock, RCAR, RenovaCare Inc, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, SkinGun, SolarWindow Technologies Inc, Stock Promotion, StreetAuthority, trading suspension, WNDW
Court Enters Judgments Against Promoters in Pump-And-Dump Scheme
The Securities and Exchange Commission announced that the U.S. District Court for the Central District of California entered final judgments against the remaining three defendants in a 2019 SEC action charging them for their alleged roles in a pump-and-dump scheme in the stock of southern California beverage and cannabis company Green Cures & Botanical Distribution, Inc (GRCU).
Category: Blog Posts Tags: Andrew Coldicutt, attorney letter, Calvin Ross, Cameron Linton, Christel Scucci, Chromocure Inc, Convertible Note, David N Osegueda, Dodd Frank Bounty, dodd-frank, DSR, E-Lionheart Associates, Edward Bronson, Fairhills Capital, fraud, GRCU, Green Cures & Botanical Distribution Inc, HFBG, HYBE, Hybrid Energy Holdings Inc, IGNT, IHUB, In Step Holdings LLC, Ingen Technologies Inc, investorshub, Ishmail Calvin Ross, Jason Ruppert, Jessica Snyder, Karen Beach, KKUR, Lawrence Powalisz, Mark Fisher, New Generation Consumer Group, NGCG, OTC Markets, Pamela Ruppert, Penny Hall of Fame Beverage Inc, Penny stocks, pump and dump, scam, Scottsdale Capital Advisors, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, share selling scam, Stephen Carnes, Stock Goodies, stock manipulation, Stock Mobsters, Stock Promotion, Toxic Lender, toxic lending, trading suspension, Triton Distribution Systems Inc, TTDZ, Undersea Recovery Corporation, UNDR, Viper Networks Inc, VLBI, VPER, Wall Street Surfers, XALL, Xalles Holdings Inc, Zachary Logan
The SEC charges Giuliani Associates Lev Parnas and David Correia
On February 4, 2021, the U.S. Securities and Exchange Commission announced charges against two associates of Rudy Giuliani, the former New York City mayor and lawyer for Donald Trump, alleging they raised $2 million from investors by making false and misleading representations.
Category: Blog Posts Tags: Adam Putnam, Alain Chalem, America First Action, Andrey Kukushin, Boris Vax, broker-dealer, Chuck Arnold, David Correia, doj, Donald Trump, Donald Trump Jr., Euro-Atlantic Securities, Face Up Entertainment Group Inc, FINRA, fraud, Fraud Guarantee, FUEG, Global Energy Producers, Ian Kass, Igor Fruman, Indictment, Ivanka Trump, Jared Kushner, Joe Biden, Lev Parnas, Maier Lehmann, Major, Michael Vax, Mike Pence, Mitchell Reisman, New York, OTC Markets, Penny stocks, Program Trading Corp, Rick Scott, Robert Grinberg, Ron DeSantis, Rudi Giuliani, Russia, scam, SEC, SEC Complaint, stock broker, Tel-Com Wireless Cable TV, Ukraine, US Securities and Exchange Commission
SEC Charges John McAfee, Jimmy Watson, Jr with Fraudulently Touting ICOs
On October 6, 2020, the Securities and Exchange Commission (the “SEC”) charged businessman and computer programmer, John McAfee, for promoting investments in initial coin offerings (ICOs) to his Twitter followers without disclosing that he was paid to do so. McAfee’s bodyguard, Jimmy Watson, Jr., was also charged for his role in the alleged scheme.
Category: Blog Posts Tags: Jimmy Watson, John McAfee, Jr., microcap securities, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, ponzi scheme, regulation, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, Securities Fraud, Securities Law Defense, stock scheme
Edward T. Kelly, Aceto Corporation Controller, Charged with Insider Trading
Edward T. Kelly, Aceto Corporation, Insider Trading, Lakewood Ranch Florida
Category: Blog Posts Tags: Aceto, Aceto Corporation, Edward Kelly, Edward T. Kelly, Florida, Lakewood Ranch Floirda, microcap securities, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, ponzi scheme, regulation, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, Securities Fraud, Securities Law Defense, stock scheme
