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On Monday, July 17, 2023, the Securities and Exchange Commission (the “SEC”) charged New Jersey resident and former broker-dealer registered representative, James…
Read MoreOn July 12, 2023, former securities attorney Phillip W. Offill was sentenced today to six years in prison and ordered to pay…
Read MoreOn February 1, 2023, three Minnesota men met in a parking lot in Bloomington, about 10 miles from Minneapolis, to discuss business.…
Read MoreAs this year’s long Fourth of July holiday began, surprising “news” about Gary Gensler, chairman of the Securities and Exchange Commission, spread…
Read MoreOn June 21, 2023, the SEC announced the resolution of four administrative proceedings that had been filed against unregistered broker-dealers and associates…
Read MoreJust about everybody knows what a “pump-and-dump” scheme is. It’s a type of price manipulation where bad actors use falsified, heavily promoted…
Read MoreOn Thursday, June 16, 2023, the Securities and Exchange Commission (the “SEC”) announced settled charges against a convertible note dealer, BHP Capital…
Read MoreOn June 1, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against Auctus Fund Management, LLC (“Auctus Management”) and its…
Read MoreOn April 14, 2023, the U.S. District Court for the Central District of California entered a final consent judgment against Thomas Carter…
Read MoreDespite that the Securities and Exchange Commission adopted Regulation SHO more than 15 years ago, the age of meme stocks has caused…
Read MoreOn March 23, 2023, the Securities and Exchange Commission (the “SEC”) obtained an emergency order to halt an alleged ongoing offering fraud…
Read MoreOn May 18, 2023, Mark Miller became the last of three men to be sentenced for a securities fraud scheme that involved…
Read MoreOn May 4, 2023, the U.S. District Court for the Southern District of New York granted the Commission summary judgment on its…
Read MoreOn May 2, 2023, the U.S. District Court for the Southern District of New York entered final judgments against Alexander J. Dillon,…
Read MorePublished: May 1, 2023 On April 25, 2023, the U.S. District Court for the District of Massachusetts entered final judgments against defendants…
Read MoreAn indictment was unsealed on Monday, April 24th in Miami charging two U.S. citizens and a South African national with conspiring to…
Read MoreOn Thursday, April 20, 2023, Damian Williams, the United States Attorney for the Southern District of New York, Michael J. Driscoll, the…
Read MoreA “Reverse Merger” is a transaction whereby a privately held company becomes a Public Company (“Public Company” or “Public Company Candidate”) by…
Read MoreOn March 30, 2023, the Securities and Exchange Commission (the “SEC“) filed insider trading charges against Sean Wygovsky, a former trader at…
Read MoreOn Wednesday, March 22nd, the Securities and Exchange Commission (the “SEC“) announced charges against eight celebrities in connection with a broader investigation…
Read MoreOn March 1, 2023, EMA Group, LLC (“EMA Group”) and Felicia Preston (“Preston”), the sole owner of EMA Group, lost a motion…
Read MoreOn February 21, 2023, the Securities and Exchange Commission (the “SEC“) announced charges against Ensign Peak Advisers Inc., a non-profit entity operated…
Read MoreOn February 17, 2023, the Securities and Exchange Commission (the “SEC“) charged yet another celebrity for promoting a crypto asset security without…
Read MoreWhile the Securities and Exchange Commission (the “SEC“) regulates and enforces the federal securities laws, each state has its own securities regulator…
Read MoreBoth public and private companies may conduct securities offerings using Rule 506. The exemption provides a valuable tool for enabling issuers to…
Read MoreSecurities offerings must be registered with the Securities and Exchange Commission (“SEC”) or exempt from registration. Private placements are unregistered, non-public securities…
Read MoreGonzalo Ortiz was sentenced on February 2, 2023, in federal court in Brooklyn to 30 months in prison for defrauding an investor…
Read MoreOn January 20, 2023, the U.S. District Court for the Eastern District of New York entered a final judgment against California resident…
Read MoreCharles McGonigal, a former top counterintelligence official in the FBI’s New York Field Office, who retired from the FBI in 2018, has…
Read MoreOn January 20, 2023, the Securities and Exchange Commission (the “SEC”) charged Avraham Eisenberg with orchestrating an attack on a crypto asset…
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