stock scheme Archives - Page 3 of 8 - Hamilton & Associates Law Group, P.A.

SEC Freezes Assets Against Daniel Putnam, Jean Paul Rico, and Angel Rodriguez

June 9, 2020

On June 5, 2020, the SEC announced an asset freeze against Daniel F. Putnam, of Utah, Jean Paul Ramirez Rico, of Colombia,…

The Securities Act of 1933 – Liability Provisions

January 27, 2020

SEC Charges Fifteen Unregistered Brokers for Illegal Offering of Intertech Solutions

April 24, 2019

Can Finders Raise Money Q & A – Going Public Lawyers

March 2, 2019

Finders may become involved in various securities transactions including matters other than raising capital, including reverse mergers and Direct Public Offerings. A…

Court Imposes Lifetime Officer-And-Director Bars On Michael J. Kipp, Swisher’s former CFO, and Joanne K. Viard

February 27, 2019

SEC Accepts Settlement Offer Against Ricardo Goldman

November 30, 2018

SEC Obtains Final Judgement Against Steven Newman

November 29, 2018

Press Release SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program

October 16, 2018

SEC Charges ICO Superstore TokenLot LLC and Owners Lenny Kugel & Eli L. Lewitt With Operating As Unregistered Broker-Dealers

October 2, 2018

SEC Charges Florida Cash Advance Company, Former CEO Carl Ruderman With Defrauding Retail Investors

September 21, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors

September 11, 2018

SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray

August 27, 2018

SEC Charges Credit Suisse With FCPA Violations

August 26, 2018

SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies

August 25, 2018

SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records

August 24, 2018

SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes

August 22, 2018

SEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections

August 11, 2018

SEC Charges U.S. Congressman Christopher Collins and Others With Insider Trading

August 9, 2018

SEC Charges William McFarland and Others With $27.4 Million Offering Fraud

August 1, 2018

SEC Charges Howard Appel in Stock Manipulation Scheme

July 31, 2018

Yao Li Settles Insider Trading Charges

July 31, 2018

SEC Charges John Paulsen for Aiding & Abetting Pay-To-Play Scheme

July 30, 2018

Supreme Court Says SEC ALJ Appointments Are Unconstitutional

July 2, 2018

$102 Million Ponzi Scheme Charged By SEC

July 2, 2018

Borland Capital Group Charged by SEC – Securities Attorneys

July 1, 2018

SEC Orders Merrill Lynch to Return More than $10.5 Million to Harmed Customers

June 30, 2018

FINRA Enforcement of Non-Members and Penny Stock Issuers

June 28, 2018

Investment Banker, Woojae “Steve” Jung, Chaerged in Insider Trading Scheme

June 12, 2018

Steven Pagartanis Charged for Defrauding Customers

June 12, 2018

Beware of Custodianship Shells and Reverse Mergers

May 4, 2018

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