SEC Defense Lawyer Archives

Gonzalo Ortiz Sentenced to 30 Months’ Imprisonment for Defrauding Investor and Lying about his Trading Experience

February 6, 2023

SEC Obtains Over $5 Million Final Judgment Against Charlie Abujudeh in Multi-Million Dollar Microcap Pump and Dump Scheme

January 27, 2023

SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets

January 23, 2023

SEC Obtains Judgment Against Todd Zinkwich

January 18, 2023

SEC Charges Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco for their roles in a fraudulent scheme to mislead investors about Cool Holdings, Inc

January 10, 2023

SEC Charges J.H. Darbie & Co with Anti-Money Laundering Violations

December 15, 2022

Charges Filed Against Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter

December 14, 2022

FTX Founder Samuel Bankman-Fried Charged by the SEC and Criminally Indicted

December 13, 2022

Justin Bieber, Kevin Hart, Snoop Dogg, Madonna, Serena Williams, Jimmy Fallon, and More Are Being Sued for Promoting Bored Ape Yacht Club NFTs

December 11, 2022

David Stephens, Donald Danks, Jonathan Destler, and Robert Lazerus Indicted for Conducting an International Pump-and-Dump / Money Laundering Scheme Using Loop Industries Inc

November 25, 2022

SEC Charges Unregistered Brokers, Jeffrey K. Galvani and Stuart A. Jeffery, for Facilitating $1.2 Billion in Penny Stock Trades

November 22, 2022

Joseph Padilla Arrested and Charged in $7 Million Securities Fraud

November 4, 2022

SEC Charges Incarcerated Felon (Syed Arham Arbab) and Five Friends in $2 Million Fraud Scheme

November 1, 2022

SEC Files Charges Against Michael Forster

May 8, 2022

SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures

December 6, 2020

On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…

SEC Says Ibrahaim Almagarby and Microcap Equity Group Are Unregistered Dealers

August 20, 2020

AmTrust and Ronald E. Pipoly, Jr Charged with Faulty Loss Reserves Disclosures

July 6, 2020

On June 17th, 2020, the SEC charged international insurance company AmTrust Financial Services, Inc. and its former CFO Ronald E. Pipoly Jr.…

SEC Says Toxic Financings by Dilution Funder, John Fierro Make Him a Dealer Not a Trader

June 29, 2020

SEC Says Toxic Financing Lender and Dilution Funder John Fierro is a Dealer Not a Trader

June 29, 2020

Dilution Funders and Dilution Financings Challenged by SEC

SEC Files Charges in Ponzi Scheme Targeting Hispanic Community

January 29, 2020

The Securities Act of 1933 – Liability Provisions

January 27, 2020

Blockchain of Things Inc. (BCOT) Charged by SEC for Unregistered ICO

January 17, 2020

SEC Charges Rishi Shah, Shradha Agarwal, Brad Purdy, Ashik Desai,and Outcome Health

December 4, 2019

Knightsbridge Private Partners Accused of Selling Fake Shares of Stock

November 28, 2019

Supreme Court Adds Securities Law Case against Charles Liu and Xin Wang to Merits Docket

November 26, 2019

SEC Charges Christopher Dougherty, an Investment Adviser with Running a Ponzi Scheme

May 20, 2019

SEC Charges Truckload Freight Company with Accounting Fraud

May 17, 2019

Former Broker Zachary Berkey Ordered to Pay SEC Disgorgement and Penalties

May 15, 2019

SEC Charges Eric Lyons For Misappropriation and Fraudulent Securities Offering

May 13, 2019

SEC Charges David Loflin in Greenway Design Pump-and-Dump

May 10, 2019