SEC Litigation Archives - Hamilton & Associates Law Group, P.A.

Whistleblower Frequently Asked Questions

February 5, 2025

The Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the…

SEC Enforcement Actions and Regulatory Evolution 2019–2025

January 10, 2025

A Comprehensive Review of Trends, Cases, and Compliance Takeaways Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This…

Clinton Greyling Sentenced for Role in Unregistered Broker Scheme

January 6, 2025

Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action

September 17, 2024

In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…

Court Vacates Order in Unregistered Dealer, Crown Bridge Partners Case

August 20, 2024

Attorney Mark Basile to Participate in Federal Enforcement Action SEC v. Carebourn Capital L.P. and Chip Alvin Rice

July 30, 2024

Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC

July 29, 2024

Important Changes Are in Store for the SEC and Other Federal Agencies

July 3, 2024

Xeriant, Inc. Fights Toxic Funder Auctus Fund in Appellate Court

June 26, 2024

Court denies James L. Koutoulas’ petition to quash SEC subpoena

June 13, 2024

11th Circuit Upholds Unregistered Dealer Justin Keener SEC Judgment

May 30, 2024

SEC Obtains $5.9 Million Judgment Against John Fierro in Unregistered Penny Stock Dealer Case

May 25, 2024

Investor Relations 101 – The Securities Laws & Stock Promotion

March 26, 2024

SEC Obtains Final Judgment Against Kevin Dills – Joseph Padilla Sentenced in Criminal Case

March 24, 2024

Ibrahim Almagarby Loses Unregistered Dealer Appeal

February 21, 2024

The Evolving SEC Actions Against Toxic Lenders

November 6, 2023

SEC Charges Digital World Acquisition Corporation SPAC for Material Misrepresentations to Investors

July 21, 2023

SEC Charges James P. Anglim in Connection with Fraudulent Scheme to Manipulate Stock Prices

July 19, 2023

Former SEC Attorney and Recidivist Securities Violator Phillip W. Offill Sentenced to Prison Again

July 13, 2023

SEC Arrives Too Late; Ponzi Scheme Polka Ends in Murder-Suicide

July 10, 2023

Crypto Community Takes Aim at SEC Chair Gary Gensler

July 7, 2023

Hester Peirce Asks: Are SEC Penny Stock Bars Fair?

June 24, 2023

FINRA Presents the Warning Signs of a Ramp and Dump Scheme

June 22, 2023

SEC Charges Convertible Note Dealer, BHP Capital NY Inc, and Its Owner, Bryan Pantofel, for Failure to Register

June 21, 2023

SEC Charges Auctus Fund Management LLC and Its Co-Owners, Louis Posner and Alfred Sollami, with Acting as Unregistered Securities Dealers

June 1, 2023

SEC Obtains Final Judgment Against Thomas Ronk, Former Short Seller Opportunist

June 1, 2023

SEC Obtains Partial Summary Judgment Against Joshua Sason and Magna Group in IIIegal Microcap Securities Offerings

May 16, 2023

SEC Obtains Final Judgments Against Alexander J. Dillon, Cosmin I. Panait, and their corporate entities GPL Ventures LLC and GPL Management LLC

May 4, 2023

SEC Obtains Default Judgments Against Lesley Greyling and Trend Investments Inc

May 1, 2023

Five People Charged in $2M Virtual Asset and Securities Manipulation Scheme

April 26, 2023

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