Microcap - Securities & Forensic Lawyers

SEC Charges Beaufort Securities for Manipulative Trading in Microcap Penny Stocks

On March 2, 2018, the Securities and Exchange Commission The SEC announced securities fraud charges against Beaufort Securities, a U.K.-based broker-dealer and its investment manager in connection with manipulative trading in the securities a U.S.-based microcap issuer.  The… Read More

FBI Informant Guy Gentile’s Indictment Is Tossed by the Judge

Guy Gentile Gets Good News On January 30, 2017, brokerage firm owner Guy Gentile got the good news he’d been hoping for:  Judge Jose Linares of the United States District Court for the District of New Jersey had… Read More

FBI Informant Guy Gentile Pushes Back

In September, we wrote about Guy Gentile, the owner of two successful stock brokerages, and his troubles with the U.S. Department of Justice (“DOJ”).  According to the DOJ, back in 2007-2008, Guy Gentile had become involved in the… Read More

Why Stay Private? The Assault On Small Business

For many, the American Dream is about having the opportunity to create and own a business. Small businesses, often described as the backbone of our economy, employ one out of two workers in the United States. Once established,… Read More

SEC Charges Lawbreakers Who Secretly Ran Microcap Company

Posted by Securities Lawyer 101 Blog On July 16, 2014, the Securities and Exchange Commission announced SEC charges against James E. Cohen and Joseph Corazzi who secretly controlled Natural Blue Resources including the operational and management decisions of… Read More

SEC Charges Curt Kramer l Securities Lawyer 101

Securities Lawyer 101 Blog On November 25, 2013, the Securities and Exchange Commission (the “SEC”) charged Curt Kramer with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed… Read More

SEC Charges Four With Securities Fraud

Securities Lawyer 101 Blog On December 21, 2012, securities fraud charges were announced against Danny Garber, Michael Mannis, Kenneth Yellin and Jordan Feinstein as well as 12 corporate egos with conducting a fraudulent penny stock scheme.  The SEC alleges… Read More