SEC Order - Going Public Lawyers
On November 9, 2018, the SEC obtained a judgment against John Place, a former CEO of a brokerage consulting business who was charged by the SEC in August for his role in a multimillion dollar transition management fraud…. Read More
Category: Blog Posts Tags: Brenda Hamilton Attorney, GTS, GTS Inc, GTS LLC, John Place, John T. Place, SEC Enforcement, SEC Order, SEC's Complaint, Securities Law Blog, Securities Lawyer 101
The SEC charged Michael Rothenberg, the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to fund personal projects, including sending millions of dollars to his own virtual reality production company. The… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Michael B. Rothenberg, Michael Rothenberg, Rothenberg Ventures LLC, SEC charged, SEC filings, SEC Order, SEC's Complaint, Securities Attorney, Securities Law Blog, Securities Lawyer, Securitieslawyer101
The Securities and Exchange Commission announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges that they acted as unregistered broker-dealers. This is the SEC’s first case charging unregistered broker-dealers for selling digital tokens… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, broker-dealers, DAO Report, Eli L. Lewitt, gatekeepers, ICO, Lenny Kugel, SEC, SEC Order, SEC oversight, SEC’s order, Securities Attorney, Securities Fraud, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The SEC, The Securities and Exchange Commission, TokenLot, TokenLot LLC
The Securities and Exchange Commission announced that Paris-based pharmaceutical company Sanofi has agreed to pay more than $25 million to resolve charges that its Kazakhstan and the Middle East subsidiaries made corrupt payments to win business. According to the… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Brenda Hamilton Securities Attorney, Brenda Hamilton Securities Lawyer, Bribe, FCPA, Fraud, Go Public, Going Public, Going Public Attorney, Going Public Lawyer, Kazakhstan, marzipans, Sanofi, SEC Complaint, SEC Order, Securities Attorney, Securities Attorney Brenda Hamilton, Securities Law Blog, Securities Lawyer, Securities Lawyer 101, Securities Lawyer Brenda Hamilton, Securitieslawyer101, The Securities and Exchange Commission
The Securities and Exchange Commission (“SEC”) announced on June 12, 2018 that Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into overpaying for Residential… Read More
Category: Blog Posts Tags: Anti-Fraud Provisions, Brenda Hamilton Securities Lawyer, Civil Penalty, compliance and surveillance procedures, Disgorgement, Fenner & Smith Inc., Hamilton and Associates Law Blog, Hamilton and Associates Law Group, Merrill Lynch, Pierce, Residential Mortgage Backed Securities, RMBS, SEC, SEC Order, Securities Law Blog, Securities Lawyer 101, The Securities and Exchange Commission
On May 30, 2018, the Securities and Exchange Commission (“SEC”) charged a former Long Island registered representative with defrauding long-standing brokerage customers in an $8 million investment scam. According to the SEC, Steven Pagartanis, who was an associate with… Read More
Category: Blog Posts Tags: Anti-Fraud Provisions, Brenda Hamilton Securities Lawyer, Criminal Charges, Defrauding Customers, defrauding investors, Hamilton and Associates Law Blog, Hamilton and Associates Law Group, Investment Scheme, Pagartanis, retirees, SEC, SEC Charges, SEC Complaint, SEC Order, Securities and Exchange Commission, Securities Law Blog, Steven Pagartanis
On October 30, 2015, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of American Power Corp. (AMPW) and Locan, Inc. (LOCN). The SEC trading suspension commenced at 9:30 a.m. EDT on… Read More
Category: Blog Posts Tags: American Power Corp, AMPW, Locan, LOCN, Periodic Reports, Rule 15c2-11, SEC Order, SEC Periodic Reports, SEC Trading Suspension, Section 12(k), Trading Suspension
On September 29, 2015, the Securities and Exchange Commission (SEC) filed a complaint in the U.S. District Court for the District of Nevada against Michael J. Moore, formerly a certified public accountant known for auditing many questionable microcap… Read More
Category: Blog Posts Tags: 15 S.C.§ 7201(a)(7), Cytta, Cytta Corp, Michael J. Moore, Michael Moore, Microcaps, Money Rock, Monkey Rock Group, PCAOB, Reverse Mergers, SEC Action, SEC Allegation, SEC Alleges, SEC Ban, SEC Bar, SEC Charge, SEC Complaint, SEC Enforcement, SEC Injunction, SEC Investigation, SEC Order, SEC Suspension, SOX Section 2(a)(7)
-Posted by Brenda Hamilton- The Securities and Exchange Commission (SEC) announced on September 2, 2015 that U.S. District Court Judge Jed S. Rakoff has ordered that Defendants Eric Aronson, Fredric Aaron, and Vincent Buonauro must each disgorge all… Read More
Category: Blog Posts Tags: Brenda Hamilton, Brenda Hamilton Attorney, Brenda Hamilton Lawyer, Eric Aronson, Fredric Aaron, Interlink-US-Network Ltd, PermaPave Industries, Permeable Paving Stones, Ponzi Scheme, SEC Action, SEC Allegation, SEC Alleges, SEC Charges, SEC Complaint, SEC Investigation, SEC Motion, SEC Order, Vincent Buonauro
The Securities and Exchange Commission (SEC) filed a civil injunctive action on September 25, 2015, in the United States District Court for the District of Colorado relating to the fraudulent offer and sale of stock in GenAudio, Inc. The SEC… Read More
Category: Blog Posts Tags: Apple Inc, Astound Holdings Inc, Civil Injunctive Action, Colorado Audio Company, fraudulent offering, GenAudio Inc., Private Placements, Rule 10b-5, SEC Action, SEC Alleges, SEC Charges, SEC Complaint, SEC Enforecement, SEC Investigation, SEC Order, Section 10(b), Section 17(a), Section 5(a), Section 5(c), Taj Jerry Mahabub, Unregistered Offering, Unregistered Securities
