John Briner - Securities l Corporate l Business Law

Operation Shell Expel in Retrospect

When Jay Clayton was sworn in as Chairman of the Securities and Exchange Commission (SEC) in May 2017, he was perceived as a business-friendly choice.  While he is indeed committed to creating new opportunities for public companies and… Read More

Guy Gentile Says FBI Double-Crossed Him

Stockbroker Guy Gentile was flying high as 2012 began.  In January, he gave an interview to the Nassau Guardian in which he predicted wild success for his new Bahamas brokerage, SureTrader, a division of Swiss America Securities, Ltd.,… Read More

Three SEC Stop Orders, One Mystery? Going Public Attorneys

On May 11, 2015, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings against two penny stock companies, Visual Acumen, Inc., and First Xeris Corp. (FXER).  The purpose of the actions was to establish grounds for imposing stop… Read More

Securities Lawyers Gone Wild – John Briner Criminally Charged

The walls are closing in on former securities attorney John Briner.  In the past two months, he’s been criminally charged in the Provincial Court of British Columbia, sued by the U.S. Commodity Futures Trading Commission (“CFTC”), and disciplined… Read More

Penny Stock Lawyers, Auditors & Nominees Charged by SEC

On January 15, 2015, the Securities and Exchange Commission (SEC) announced charges against penny stock lawyers, auditors, and others allegedly involved in a microcap scheme involving bogus Form S-1 registration statements filed with the SEC.  According to the SEC,… Read More

SEC Shuts Down 20 Bogus S-1 Registration Statements After Promotion Stock Secrets Research Report

Securities  Lawyer 101 Blog On February 3, 2014, the Securities and Exchange Commission (“SEC”) announced the filing of stop order proceedings against 20 purported mining companies for providing false information in their S-1 registration statements. Of the 20 S-1 registration statements,… Read More