On March 1, 2017, the SEC voted to adopt rule and form amendments that impact SEC Filings. The SEC’s new rules make it easier to locate and access exhibits in registration statements such as Form S-1 and periodic… Read More
Category: Blog Posts Tags: 10-K, 10-Q, 20-F, Form 10-A, Form 10-K, Form 20-F, Form S-1, Regulation S-T, S-1, SEC Amendment, SEC filings, SEC final rules, SEC Rule, XBRL
On February 23, 2017 the Securities and Exchange Commission (the “SEC”) published information and guidance concerning robo-advisers for investors and the financial services industry on the fast-growing use of robo-advisers, which are registered investment advisers that use computer… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Securiites, Brenda Hamilton Securities Attorney, Robo-Adviser, SEC Action, SEC Charges, SEC Complaint, SEC Investigation, SEC litigation, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigatigation
The Securities and Exchange Commission (SEC) on February 14, 2017 announced that James P. Toner Jr, a purported real estate investment manager has agreed to pay more than a half-million dollars to settle charges that he pocketed investor… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda hamilton securities, Brenda Hamilton Securities Attorney, James P. Toner, James P. Toner Jr., James Toner Jr., SEC, SEC Action, SEC Charges, SEC Complaint, SEC Investigation, SEC litigation, SEC’s New York Regional Office, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation
On February 14, 2017, the Securities and Exchange Commission (the “SEC”) announced two SEC enforcement actions involving disclosure violations that deprived investors of material information during battles for corporate control of publicly traded companies. In one case, the… Read More
Category: Blog Posts Tags: Boston Avenue Capital, Charles Gillman, Charles M. Gillman, Corporate Control, CVR Energy, Eberwein, Gerald Hodgkins, Heartland Advisors, Jeffrey E. Eberwein, Jeffrey Eberwein, Lone Star Value Management, SEC Action, SEC Charges, SEC Complaint, SEC Division of Enforcement, SEC Enforcement Action, SEC enforcement actions, SEC Investigation, SEC litigation, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation
On February 10, 2017 the Securities and Exchange Commission (SEC) announced that it obtained an emergency court order freezing brokerage accounts holding more than $29 million in illegal profits from insider trading in advance of the April… Read More
Category: Blog Posts Tags: Beijing, Brenda Hamillton, Brenda hamilton securities, Brenda Hamilton Securities Attorney, Comcast, Comcast Corp, DreamWorks Animation SKG, J. Paul Oetken, Judge J. Paul Oetken, Michele Layne, Michele Wein Layne, Palo Alto, SEC, SEC Action, SEC Charges, SEC Complaint, SEC Investigation, SEC litigation, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation, Shaohua (Michael) Yin, Summitview Capital Management Ltd, U.S. District Court, U.S. District Court in the Southern District of New York
The Securities and Exchange Commission (SEC) on February 3, 2017 charged Barry Connell, an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to… Read More
Category: Blog Posts Tags: Andrew Calamari, Andrew M. Calamari, Barry Connell, Brenda Hamilton, Brenda Hamilton Securiites, Brenda Hamilton Securities Attorney, SEC, SEC Action, SEC Charges, SEC Complaint, SEC Investigation, SEC litigation, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation, Southern District of New York
The Securities and Exchange Commission (SEC) on February 13, 2017 announced that Sidoti & Company LLC, a New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of compliance and trading surveillance failures.Federal… Read More
Category: Blog Posts Tags: Andrew Calamari, Andrew M. Calamari, Brenda Hamilton, Brenda hamilton securities, Brenda Hamilton Securities Attorney, SEC Action, SEC Charges, SEC Complaint, SEC Investigation, SEC litigation, SEC’s New York Regional Office, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation, Sidoti & Company, Sidoti & Company LLC
On February 2, 2017 the Securities and Exchange Commission (the “SEC”) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit among other things. The SEC alleges… Read More
Category: Blog Posts Tags: Anthony Kelly, Anthony S. Kelly, Brenda Hamillton, Brenda Hamilton Securities Attorney, Mark J. Varacchi, Mark Varacchi, SEC, SEC Action, SEC Charges, SEC Complaint, SEC Enforcement Division’s Asset Management Unit, SEC Investigations, SEC litigation, Securities and Exchange Commission, Securities Attorney, Securities Law, Securities Law Blog, Securities Litigation, Sentinel Growth Fund Management
On February 14, 2017, the SEC announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s… Read More
On February 17, 2017 the Securities and Exchange Commission (the “SEC”) the North American Securities Administrators Association (“NASAA”) signed a crowding funding agreement. The agreement sets forth the rules to facilitate intrastate crowdfunding offerings and regional offerings take effect. The agreement… Read More
Category: Blog Posts Tags: Brenda Hamilton Securities Attorney, crowdfunding rules, intrastate crowdfund, intrastate crowdfunded offerings, Intrastate Crowdfunding, intrastate crowdfunding offering, Intrastate Offering, NASAA, North American Securities Administrators Association, ntrastate crowdfunding, Securities Attorney, Securities Law, Small Business, The Securities and Exchange Commission
