Securities and Exchange Commission Archives - Page 2 of 13 - Hamilton & Associates Law Group, P.A.

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

June 26, 2024

Meta Materials Executives, John Brda and George Palikaras, charged with Market Manipulation, Fraud and Other Violations

June 25, 2024

SEC Regulation D Rule 506(b) and Regulation D Rule 506(c)

June 14, 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

Are You Ready? T+1 Trade Settlement Begins Next Week

May 24, 2024

PCAOB Imposes a $400,000 Fine and Sanctions MaloneBailey, LLP for Pervasive Quality Control Violations

May 23, 2024

SEC Issues BF Borgers Exemptive Order For SEC Reporting Companies

May 21, 2024

CAT’s Cradle – Ongoing Problems with the SEC’s Consolidated Audit Trail

May 9, 2024

Trump Media’s auditing firm, BF Borgers, busted for “massive fraud”

May 7, 2024

SEC permanently bans BF Borgers and its owner Benjamin Borgers and fines them a combined $14 million for accounting fraud

May 3, 2024

SEC Nails BF Borgers and Ben Borgers – Issuers Must Obtain New Auditors

May 3, 2024

On May 3, 2024, the Securities and Exchange Commission provided a statement for issuers impacted by its enforcement action against BF Bofgers…

SEC Charges Convertible Note Dealer Tri-Bridge Ventures, LLC and John Francis Forsythe, III for Failure to Register

April 30, 2024

Form S-1 Registration Statements – What Companies Need To Know About Form S-1 & Going Public

March 27, 2024

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

March 24, 2024

OTC Markets 101 – The Basics of Listing – OTCQB

March 22, 2024

Form S-1 Registration Statement Attorneys – Going Public Lawyers

March 12, 2024

Toxic Funders: Unregistered Dealers, Short Sellers, or Both?

March 11, 2024

Ibrahim Almagarby Loses Unregistered Dealer Appeal

February 21, 2024

SEC Obtains Final Judgment against Jeffrey Auerbach for Role in Bribery Scheme

February 12, 2024

SEC Consent Judgments: Speak Now, or Forever Hold Your Peace

February 6, 2024

SPAC Settles SEC Fraud and Conflict of Interest Charges

February 1, 2024

SEC Charges Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC for Failure to Register; Defendants Agree to Pay $1.25 Million to Settle

January 26, 2024

SEC Charges Jonathan Farber, Aarif Jamani, and Brian Keasberry with Securities Fraud

January 13, 2024

Siddharth Jawahar Indicted for Running a Multi-Million Dollar Ponzi Scheme

January 9, 2024

Finra Proposes Rule Change for Stricter Limits for Brokers Borrowing From Clients

January 5, 2024

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating a $93 Million Fraud

January 4, 2024

Short Selling: What It Is, and What It Isn’t

December 21, 2023

Raymond Pirrello, Jr, Founder and Executive of Prior2IPO and Late Stage, Charged in Investment Fraud

December 7, 2023

Swiss Private Bank, Banque Pictet, Admits To Conspiring With U.S. Taxpayers To Hide Assets And Income In Offshore Accounts And Agrees to Pay More Than $122.9 Million

December 5, 2023

Copyright © 2026 · All Rights Reserved · Hamilton & Associates Law Group, P.A.