The Securities and Exchange Commission charged telecommunications expense management company Tangoe Inc. for its use of fraudulent accounting practices that artificially boosted company revenues between 2013 and 2015. Four former members of the company’s senior management team were also charged… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Connecticut, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, Tangoe, Tangoe Inc., telecommunications
The Securities and Exchange Commission charged a Texas-based investment fund Greenview Investment Partners L.P. and its founder Michael E. Cone with defrauding investors with false promises of massive returns in cannabis-related businesses. The SEC also issued an alert to warn retail… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, cannabis-related businesses, Cone, Going Public, Greenview, Greenview Investment Partners, Greenview Investment Partners L.P., Michael E. Cone, OIEA, RSTF, SEC, SEC Attorney, SEC Charges, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, Texas, Texas-based investment, Texas-based investment fund, The Securities and Exchange Commission
The Securities and Exchange Commission filed charges against a Buffalo, New York, investment advisory firm and its owner for misleading firm clients about its association with a barred investment adviser, who is also being charged for violating the… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Going Public Attorney, Going Public Lawyer, Gregory Grenda, Grenda, Grenda Group, Office of Investor Education and Advocacy, OIEA, SALI, SEC, Section 203(f), Securities Attorney, Securities Attorney Brenda Hamilton, Securities Fraud, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securities Offering, Securitieslawyer101, The Securities and Exchange Commission, Walter Grenda
The Securities and Exchange Commission announced that Paris-based pharmaceutical company Sanofi has agreed to pay more than $25 million to resolve charges that its Kazakhstan and the Middle East subsidiaries made corrupt payments to win business. According to the… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Bribe, FCPA, Fraud, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Kazakhstan, marzipans, Sanofi, SEC Complaint, SEC Order, Securities Attorney, Securities Attorney Brenda Hamilton, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission announced charges against 1 Global Capital LLC and its former chief executive officer for allegedly defrauding at least 3,400 retail investors, more than one-third of whom invested their retirement funds. The Florida-based cash advance… Read More
Category: Blog Posts Tags: 1 Global, 1 Global Capital, 1 Global Capital LLC, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Carl Ruderman, Florida, Florida-based, Global Capital LLC, Ruderman, SEC, SEC Complaint, Securities Attorney, Securities Attorney Brenda Hamilton, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission charged a professional football player and a former investment banker with insider trading in advance of corporate acquisitions facilitated through coded text messages and FaceTime conversations. The SEC alleges that after meeting at a… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Damilare Sonoiki, Insider Trading, John Rymas, Joseph G. Sansone, Kendricks, Mychal Kendricks, NFL, Patrick McCluskey, SEC, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, Sonoiki
The Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures and… Read More
Category: Blog Posts Tags: $16.25 million, Armita Cohen, credit ratings agencies, Deborah A. Tarasevich, Greg Hillson, Jason Litow, Moody’s, Moody’s Investors Service Inc., Mr. Muoio, Ms. Chion. Daniel Maher, Nicholas Margida, Pam Nolan, Pei Chung, Residential Mortgage Backed Securities, RMBS, Robert Leidenheimer, SEC, SEC’s, SEC’s order, The Securities and Exchange Commission, Yuri B. Zelinsky
The Securities and Exchange Commission announced that Legg Mason Inc. will pay over $34 million to resolve an SEC charge that the company violated the Foreign Corrupt Practices Act (FCPA) in a scheme to bribe Libyan government officials. According… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, FCPA, Going Public, Going Public Attorney, Going Public Lawyer, Legg Mason, Libyan, Permal, Permal Group Inc., SEC, Securities Attorney, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, subsidiary
The Securities and Exchange Commission today announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million to misled retail investors. According to the SEC’s order, investors put billions of… Read More
Category: Blog Posts Tags: AEGON, AEGON USA Investment Management LLC, AUIM, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, TAM, The Securities and Exchange Commission, Transamerica, Transamerica Asset Management Inc., Transamerica Capital Inc., Transamerica Financial Advisors Inc.
The Securities and Exchange Commission announced that in fiscal year 2019 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $121.20 per million dollars. The securities laws require… Read More
Category: Blog Posts Tags: 14(g), 2019, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Section 14(g), Section 6(b), Sections 13(e), Securities Act of 1933, Securities Attorney, Securities Exchange Act of 1934, Securities Law, Securities Law Blog, Securities Lawyer Brenda Hamilton, The Securities and Exchange Commission
