The SEC announced on November 14, 2018, that it has agreed to resolve its insider trading claims against James Mazzo, the former Chairman and Chief Executive Officer of Advanced Medical Optics, Inc.for allegedly tipping information about his company’s… Read More
On November 15, 2018, the Securities and Exchange Commission (“SEC”) brought charges against a Long Island, New York-based boiler room previously sued for defrauding elderly and unsophisticated investors. The charges allege that First Choice Healthcare Solutions Inc. CEO Christian Romandetti,… Read More
Category: Blog Posts Tags: Anthony Vassallo, Boiler Room, Brenda Hamilton, Christian Romandetti, Elite Stock Research, First Choice, Frank Sarro, Hamilton & Associates, Jeffrey Miller, Mark Burnett, Market Manipulation, officer-and-director bar, Penny Stock Bar, SEC allegations, SEC Charges, SEC's Complaint, Securities Fraud
The Securities and Exchange Commission announced charges against five public companies for failing to provide financial statements that were reviewed by their independent external auditor when they filed quarterly reports with the Commission on Form 10-Q. Regulation S-X… Read More
Category: Blog Posts Tags: 10-Q, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Cardiff Lexington Corporation, Cool Technologies Inc., Dasan Zhone Solutions Inc., First Hartford Corporation, Form 10-Q, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Infrax Systems Inc., Regulation S-X, S-X, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
The Securities and Exchange Commission announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it to open an investigation and whose extensive assistance helped it bring a successful enforcement action. “Whistleblowers, whether… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, SEC, SEC’s Office, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission, Whistleblower
The Securities and Exchange Commission announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have agreed to settle charges related to securities issued under the EB-5 Immigrant Investor Program, which provides foreigners who invest… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, CM, CMB Export LLC, EB-5, EB-5 Immigrant Investor Program, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Illinois-based, Immigrant Investor Program, Patrick Hogan, SEC, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting fraud involving BBSI’s workers’ compensation expenses. The SEC also charged BBSI in the accounting fraud and… Read More
Category: Blog Posts Tags: antifraud, Barrett Business Services Inc., BBSI, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, CFO, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, James D. Miller, Michael Elich, SEC, SEC Complaint, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission announced it has obtained monetary relief that will fully reimburse retail investors for losses on a leveraged oil-linked exchange-traded note (ETN) that registered representatives of Syracuse, New York-based broker-dealer and investment adviser Cadaret,… Read More
Category: Blog Posts Tags: Beda Lee Johnson, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Cadaret, Cadaret Grant, Disgorgement, ETN, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Grant & Co. Inc., oil-linked, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The SEC, The Securities and Exchange Commission
The Securities and Exchange Commission charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting fraud involving BBSI’s workers’ compensation expenses. The SEC also charged BBSI in the accounting fraud and… Read More
Category: Blog Posts Tags: Barrett Business Services Inc., BBSI, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, compensation expenses, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, James D. Miller, SEC, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
The Securities and Exchange Commission announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more than $345 million from over 230 investors across the U.S. The SEC also obtained an emergency asset freeze and the… Read More
The Securities and Exchange Commission announced that a Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO will pay more than $20 million in penalties to settle charges of misleading investors about the company’s developmental lung cancer… Read More
Category: Blog Posts Tags: Biopharma, biopharmaceutical, Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, cancer drug, Clovis Oncology Inc, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, lung cancer, lung cancer drug, Patrick Mahaffy, Securities Attorney, Securities Law, Securities Law Blog, Securities Lawyer, Securities Lawyer Brenda Hamilton, Securitieslawyer101
