SEC Says Toxic Financing Lender and Dilution Funder John Fierro is a Dealer Not a Trader
Dilution Funders and Dilution Financings Challenged by SEC
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SEC Obtains Judgment Against Giga Entertainment, Inc. CEO Gary Nerlinger
The U.S. District Court for the Eastern District of New York entered a final judgment as to monetary relief against the former…
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SEC Settles with Three Defendants in Boiler Room Scheme
The SEC announced that it has obtained final judgments by consent against Ronald Hardy, Anthony Vassallo, and Sergio Ramirez charged for their…
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SEC Reaches Settlements with Traders in Newswire Hacking and Trading Scheme
The SEC announced that it has obtained court approval of settlements with eight defendants: Arkadiy Dubovoy, Igor Dubovoy, Southeastern Holding and Investment…
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SEC Charges Jason C. Nielsen in Manipulative Trading Scheme Involving Covid-19 Claims
The SEC charged Jason C. Nielsen, a penny stock trader in Santa Cruz, California, with conducting a fraudulent pump-and-dump scheme in the…
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SEC Enters Final Judgment Against Brandon Copeland, E.B. & Copeland Capital, Inc.
United States District Court for the Northern District of Ohio entered final consent judgments against recidivist investment adviser Brandon E. Copeland and…
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SEC Obtains Preliminary Injunction Against Paul Horton Smith, Sr., Northstar Communications, LLC, Planning Services, Inc. and eGate
The United States District Court for the Central District of California entered a preliminary injunction and orders freezing assets and imposing other…
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SEC Obtains Judgements Against Stiefel Laboratories and Charles Stiefel
The SEC announced that it has obtained final judgments that will require a former privately held dermatology products manufacturer, Stiefel Laboratories, and…
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Is My Toxic Lender and Dilution Funder a Dealer? – SEC Toxic Financing Actions
Dilution Funders have been charged by the SEC as unregistered dealers in violation of the Securities Exchange Act. Justin Keener and his…
Read MoreSEC Freezes Assets Against Daniel Putnam, Jean Paul Rico, and Angel Rodriguez
On June 5, 2020, the SEC announced an asset freeze against Daniel F. Putnam, of Utah, Jean Paul Ramirez Rico, of Colombia,…
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What is a SEC Trading Suspension? Securities Lawyer 101
SEC trading suspensions often leave investors in the dark. While SEC trading suspensions may be intended to prevent investor losses, the opposite…
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CAN-SPAM Issuers and Investor Relations – Securities Lawyer 101
If you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers…
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Investor Relations, Stock Promotion, and Finfluencers: Securities Law Compliance Risks
Investor relations or stock promotion involves the dissemination of information about a public company and is heavily regulated by the SEC. A…
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