On September 8, 2015, the Securities and Exchange Commission (SEC) charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its executives as… Read More
On June 30, 2015, United States Magistrate Judge Sidney I. Schenkier issued an order requiring production of certain documents that Navistar International Corporation (Navistar) claimed to be privileged in response to investigative subpoenas issued by the Securities… Read More
Securities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging in its 10-Q for the period ended September 30 that the company has received a formal… Read More
On August 9, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Chuck Moore and Crucible Capital Group, a New York-based brokerage firm for allegedly violating net capital requirements and falsifying books and records to conceal… Read More
Securities and Exchange Commission (the “SEC”) investigations can result from a variety of factors. SEC investigations can be triggered in ways, including during the SEC’s routine review of SEC reports and schedules, routine inspections by FINRA of clearing houses and/or brokerage firms, reports… Read More
The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the production of relevant information, either in the form of documents or witness testimony. Although the SEC… Read More
On Tuesday, July 2, 2024, after a ten-day trial, a jury in the United States District Court for the Southern District of Florida found Guy Gentile, the founder, owner, and CEO of MintBroker International, Ltd., f/k/a Swiss America… Read More
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the company becomes subject to the SEC’s reporting requirements under the Securities Exchange Act of 1934. These rules require your company to file… Read More
Category: Blog Posts Tags: Form 10, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Lawyer, Going Public, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Prospectus, Prospectus Requirements, Regulation S-K, S-1 Going Public, SEC Quiet Period, SEC Reporting Obligations, SEC Reporting Requirements Selective Disclosure
On May 23, 2024, the U.S. District Court for the Southern District of Florida granted the Securities and Exchange Commission’s (the “SEC“) application to enforce a subpoena for the production of documents to James L. Koutoulas (“Koutoulas ”)… Read More
Category: Blog Posts Tags: Division of Enforcement, James L Koutoulas, Let's Go Brandon, LGBCoin, SEC, SEC Action, SEC enforcement action, SEC Enforcment, SEC Investigation, SEC Subpoena, Securities and Exchange Commission
In July 2012, the SEC adopted a new Rule 613 under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 (“Exchange Act”). It would require national securities exchanges and national Self-Regulatory Organizations (“SROs’) “to act jointly in developing… Read More
On January 3, 2024, the Securities and Exchange Commission (the “SEC”) announced that it obtained an asset freeze and other emergency relief concerning an alleged $93 million real estate investment fraud perpetrated by Miami-based developer Rishi Kapoor. The… Read More
Category: Blog Posts Tags: investment scam, investment scheme, investors, Location Ventures LLC, misappropriated funds, real estate, real estate development fraud, Rishi Kapoor, SEC, Securities and Exchange Commission, Securities Attorney, Urbin LLC
Convertible Financing For decades, microcap issuers on the OTC Markets in need of financing have largely been forced to turn to what are known as “toxic funders” or “toxic lenders.” The money they offer comes with a hefty… Read More
Category: Blog Posts Tags: AMC, AMC ENTERTAINMENT, Big Apple Consulting, Convertible Note, Convertible Notes, CyberKey Solutions, Dilution, Financial Industry Regulatory Authority, FINRA, GameStop, GME, Lenders, nasdaq, Nasdaq Capital Market, New York Stock Exchange, OTC Markets, OTC Pink, Penny Stock, registered national securities association, RNSA, Rule 10c-1a, SEC, Securities and Exchange Commission, Securities Attorney, Toxic Funder, toxic funding, Toxic Lender
On Monday, July 17, 2023, the Securities and Exchange Commission (the “SEC”) charged New Jersey resident and former broker-dealer registered representative, James P. Anglim, for engaging in multiple deceptive and manipulative schemes to assist various people who controlled… Read More
Category: Blog Posts Tags: 12 Retech Corp, Boiler Room, Bradley Moynes, CGS International, Charlestowne Premium Beverages Inc, Chester Alvarez, Digatrade Financial Corp, Francis Biller, fraud, Frederick L Sharp, GBX International Group, Homie Recipes Inc, Inc, James P Anglim, Joseph Padilla, Luis Carrillo, Oncology Pharma, OTC Markets, Paulson Investment Company LLC, Penny stocks, price manipulation, Proto Script Pharmaceutical Corp, pump and dump, Raymond Dove, Roger Knox, scam, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Short Selling, Sino United Worldwide Consolidated Ltd, Spartan Securities Group Ltd, Stevva Corp, stock manipulation, Stock Promotion, stock scheme, SUIC Worldwide Holdings Ltd, Xtreme Fighting Championships Inc
On February 1, 2023, three Minnesota men met in a parking lot in Bloomington, about 10 miles from Minneapolis, to discuss business. Richard B. Myre, 44, arrived first, in his black Ford F-150. He pulled into the lot… Read More
Category: Blog Posts Tags: affinity scam, All Over Nutrition, Dale Dahmen, Dominick Dahmen, FINRA, murder, O.N. Equity, Pierz Nutrition, Polka Beats, Richard B Myers, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, Spartan Trading LLC, stock scheme, suicide
As this year’s long Fourth of July holiday began, surprising “news” about Gary Gensler, chairman of the Securities and Exchange Commission, spread across social media. Its source was a blog called CryptoAlert. The headline was an attention grabber:… Read More
Category: Blog Posts Tags: crypto, Gary Gensler, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities Fraud, Securities Law Defense, stock scheme
On June 1, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against Auctus Fund Management, LLC (“Auctus Management”) and its co-owners Alfred Sollami of Brookline, Massachusetts and Louis Posner of Mansfield, Massachusetts, for failing to register… Read More
Category: Blog Posts Tags: Alfred Sollami, Auctus Fund LLC, Auctus Fund Management LLC, Convertible Notes, Custom Equity Research Partners LLC, Cyrus M Alphonse, FINRA, Louis Posner, NASD, Penny stocks, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, securities and exchange commission. toxic funder, Securities Attorney, Securities Fraud, Securities Law Defense, South Street Capital Partners, stock scheme, Unregistered Broker
On Wednesday, March 22nd, the Securities and Exchange Commission (the “SEC“) announced charges against eight celebrities in connection with a broader investigation of crypto entrepreneur Justin Sun and three of his companies: Tron Foundation Limited, BitTorrent Foundation Ltd.,… Read More
Category: Blog Posts Tags: Akon, Aliaune Thiam, Austin Mahone, BitTorrent, BitTorrent Foundation Ltd, BTT, crypto, DeAndre Cortez Way, fraud, illegal sales, Jake Paul, Justin Sun, Kendra Lust, Lil Yachty, Lindsay Lohan, market manipulation, Michele Mason, Miles Parks McCollum, Ne-Yo, Rainberry Inc, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Law Defense, securities violation, Shaffer Smith, Soulja Boy, stock scheme, Tron Foundation Limited, Tronix, TRX, unregistered securities, wash trading
On January 20, 2023, the Securities and Exchange Commission (the “SEC”) charged Avraham Eisenberg with orchestrating an attack on a crypto asset trading platform, Mango Markets, by manipulating the MNGO token, a so-called governance token that was offered… Read More
Category: Blog Posts Tags: Avraham Eisenberg, CFTC, Commodities Futures Trading Commission, crypto, Department of Justice, Dodd Frank Bounty, dodd-frank, doj, fraud, Indictment, Mango Markets, market manipulation, MNGO, Puerto Rico, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Fraud, Securities Law Defense, stock scheme, token
On December 12, 2022, the Securities and Exchange Commission (the “SEC”) charged J.H. Darbie & Co., Inc., a New York City-based brokerage firm, with failing to report suspicious activity related to transactions in tens of billions of shares… Read More
Category: Blog Posts Tags: AML P&P, anti-money laundering policies and procedures, Auctus Fund LLC, C, Calissio Resource, CRGPs Group, Dodd Frank Bounty, dodd-frank, FINRA, FirstFire Global Opportunities Fund LLC, GHS Investments LLC, J.H. Darbie, JH Darbie & Co Inc, Labrys Fund LP, LGH Investments LLC, SARS, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Section 17(a), Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, stock promotions, stock scheme, Suspicious Activity Reports, Unregistered Dealer
On August 25, 2022, Joseph Padilla was arrested at the San Diego International Airport in connection with his alleged involvement in a sophisticated securities fraud scheme that generated over $7 million in illicit proceeds. Padilla, 53, of Carlsbad,… Read More
Category: Blog Posts Tags: 1st Prestige Wealth Management, Aladdin Trading & Company, ALDI, Andrea Ritchie, Angelo R. Panetta, Ashley Robinson, Barry Grinberg, BIIO, Bionovate Technologies Group Inc, Bioscience Neautroceuticals Inc, broker-dealer, Carlsbad, Cayman Islands, cbd, Chad P. Smanjak, Charlestowne Premium Beverages Inc, College Admissions Scandal, cooperating witness, Country Line Energy Corp, Courtney Kelin, criminal charges, cross trading, Curacao, CYLC, Daniel E. Ruettiger, DEVV, doj, Douglas Roe, EHDN, eHolding Technologies, Empire Financial Group Inc, Evergreen Solutions Ltd, fbi, Financials Worldwide Inc, FINRA, First Pet Life Inc, FPLF, FPWM, fraud, Frederick Sharp, Gary J. Yocom, Germany, Gregg Mulholland, Hong Kong, Human Data AG, Hungary, Indictment, Jonathan Leinwand, Joseph Padilla, Kelly Warawa, Kevin Quinn, Kevin S. Kaplan, lev Parnes, Luis Carillo, Market Maker, Martin Ustin, Mehmet Mustafoglu, Mexico, Michael Luckhoo-Bouche, Mike Veldhuis, Militza Miro de Torm, Morrie Tobin, National Advisors Corporation, Nelson Gomes, PAIM, Panama, Pawel P. Dynkowski, Pearl Asian Mining Industries, Penny stocks, pennystockbargain.com, Phoenix Apps Inc, Porrima Ltd, Program Trading Corp, Promotion, pump and dump, PXPP, Rivex Technology Corp, RIVX, Rocco Brandonisio, Roger Knox, Rudy Nutrition, RUNU, Sandy Steele Unlimited Inc, SBES, scam, Scottsdale Capital Advisors Corp, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Securities Law Defense, Shane Schmidt, share selling scheme, Silverton SA, Special Agent Keith Brown, SSTP, SSTU, Stephen DeCesare, Sterling Financial Group Inc, Sterling Securities Group, stock manipulation, stock scheme, Sustainable Power Corp, Switzerland, the-financialnews.com, Ticino Capital Ltd, toronto, unregistered stock, Valor Capital, VFIN, vFinance, vFinance Inc, vFinance Investments Inc, VMT Scientific Inc, VMTS, vodka, Wellesley Holdings ltd, William Groeneveld, WinterCap SA, WOD Retail Solutions Inc, WODI, xphone network
On October 4, 2022, SEC Defendant and FBI fugitive Justin Costello was arrested by an FBI SWAT team. Costello had been on the run from authorities as a fugitive since September 29th after failing to surrender to authorities… Read More
Category: Blog Posts Tags: and Canal Capital, and Marijuana Company of America, arrest, Brenda Meckley, Broker, Cannabis Global Inc, Cannabis Strategic Ventures, CBGL, CCSAC Inc, Clancy Systems International Inc, CLSI, Complaint, computerbux, COWP, COWPP, Criminal Indictment, David Ferrero, DCGD, Department of Justice, Discovery Gold Corp, fbi, Foothills Exploration Inc, fraud, FTXP, fugitive, GRN Funds LLC, GRN Holding Corporation, GRNF, Hempstract Inc, HMLA, Homeland Resources Corp, HPST, IHUB, Inc, James Meckley, Justin Costello, Katrina Rosseini, LVCA, M.J. Holdings, marijuana, MCOA, MCTC, MCTC Holdings Inc, MJNE, NUGS, OBCN, Obocon Inc, Pacific Banking Corp, Penny Stock, prison, Pump, REMSleep Holdings Inc, Riverdale Oil and Gas Corporation, RMSL, RVDO, scam, SEC, Section 10(b), Section 17(a), Securities and Exchange Commission, Social Media, Stock Promotion, SWAT, Terri Buhl, Twitter, Utopia Capital Research, Victoria Lake Inc, White Diamond Research
On October 3, 2022, the SEC Division of Enforcement entered into a settlement of charges with Kimberly Kardashian (“Kardashian” or “Respondent”). The SEC Offer of Settlement (the “Offer”) includes findings that: On June 13, 2021, Kim Kardashian—a well-known… Read More
Category: Blog Posts Tags: coins, crypto, crypto currency, disgorgement, Division of Enforcement, EMAX, emax tokens, enforcement, ethereummax, federal securities laws, investors, Kim Kardashian, Kimberly Kardashian, SEC, SEC Charges, SEC Division of Enforcement, SEC enforcement, Section 17(b), securities, Securities Act, Securities Act Section 17(b), Securities Laws, Social Media, tokenomics, tokens
Since Baidu, Inc. (BIDU) completed its going public transaction in August 2005 on the NASDAQ Stock Market, many U.S. investors have found themselves fascinated and frustrated by Chinese companies. Baidu, a technology giant and AI developer offering, among… Read More
Category: Blog Posts Tags: Aliaba, China Publicly Traded, Chinese Issuer, Foreign Issuer, Foreign Private Issuer, Form F-1 Registration Statement, Form S-1 Offering, Form S-1 Resale, Go Public, Going Public, Going Public Law Firm, HFCAA, nasdaq, NASDAQ stock market, New York Stock Exchange, nyse, PCAOB, SEC Attorney, SEC Lawyer, SEC Reporting, SEC Reporting Obligations
On August 15, 2022, the Securities and Exchange Commission (the “SEC”) charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase… Read More
Category: Blog Posts Tags: Anna Tang, Avatele Group LLC, Breanne Wong, Catanga International S.A., Christophe Maerani, Christopher Smith, CMGO, Davies Wong, Distributions Bano, Dodd Frank Bounty, dodd-frank, Glenn B Laken, GMER, Good Gaming, Good Gaming Inc, H.E. Capital SA, hacking, Harmony Ridge Corp, Inc, Jason Black, Jeffery D Cox, LBTD, Lotus Bio-Technology Development Corp, Maximum Ventures Holdings LLC, Phillip Sewell, POP Holdings Ltd, Rahim Mohamed, Richard Smith, Richard Tang, Robert Seeley, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, Unregistered Dealer, Zoltan Nagy
On August 10, 2022, the Securities and Exchange Commission (the “SEC”) charged broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current Chief Operations Officer Joseph Walsh with engaging in a series of unauthorized… Read More
Category: Blog Posts Tags: Alpine Securities Corporation, Christopher Doubek, Dodd Frank Bounty, dodd-frank, Financial Industry Regulatory Authority, FINRA, Joseph Walsh, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension
August 1, 2022 — The Securities and Exchange Commission (the “SEC”) today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions… Read More
Category: Blog Posts Tags: Alisha R Shepperd, Binance blockchains, Carlos L Martinez, Cheri Beth Bowen, cryptocurrency, Dodd Frank Bounty, dodd-frank, ethereum, Forsage, fraud, Lola Ferrari, Mark F Hamlin, Mikhail Sergeev, Philippines, ponzi scheme, pyramid scheme, Russia, Samuel D Ellis, Sarah L Theissen, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Sergey Maslakov, trading suspension, Tron, Unregistered Dealer, Vladimir Okhotnikov
On June 30, 2022, the Securities and Exchange Commission (the “SEC”) filed fraud charges against Empires Consulting Corp (“EmpiresX”), its founders, Emerson Sousa Pires and Flavio Mendes Goncalves, and its head trader, Joshua David Nicholas, (collectively, the “Defendants”)… Read More
Category: Blog Posts Tags: Commodity Futures Trading Commission, crypto, CTC, Dodd Frank Bounty, dodd-frank, doj, Emerson Sousa Pires, Empires Consulting Corp, EmpiresX, Flavio Mendes Goncalves, Joshua David Nicholas, multi-level marketing, scam, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading bot, trading suspension, US Department of Justice
On June 9, 2022, the Securities and Exchange Commission (the “SEC”) charged Trends Investments Inc. and five individuals, Clinton Greyling of Florida, Leslie Greyling (Clinton’s father, a resident of the United Kingdom), former Massachusetts resident Brandon Rossetti, Roger… Read More
Category: Blog Posts Tags: ABTI, Adiba Khalik, Adiba Rezaei, Alterola Biotech Inc, Anne M E Greyling, Brandon Rossetti, Bulls Run Investments Limited, Cennet Investments Limited, Clinton Greyling, Crystalmount Limited, Dheeraj Jain, Dodd Frank Bounty, dodd-frank, Domenic Calabrigo, E-Pawn.com, EPWN, Future Trends Ltd, Jeffrey D Martin, Lalit Kumar, Leslie Greyling, London Pharma Holdings Limited, Members Service Corp, MENC, Millennium Energy Corp, Nankalamu Martin, Norfolk Hights Ltd, Pacific Media Group Enterprises Inc, Peter Maddocks, Rajesh Taneja, Roger Bendelac, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Steve M Bajic, Thomas Capellini, TKCM, Token Communities Ltd, Total Investment Holding Ltd, trading suspension, Trends Investments Inc, Unregistered Dealer
On May 16, 2022, the Securities and Exchange Commission (the “SEC”) obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D…. Read More
Category: Blog Posts Tags: Brian K. Martinsen, Dodd Frank Bounty, dodd-frank, Eric D. Lachow, Form F-1, Form S-1, Francine A. Lanaia, Going Public, Michael A. Castillero, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, StraightPath Management LLC, StraightPath Venture Partners LLC, trading suspension, Unregistered Dealer
On May 4, 2022, the Securities and Exchange Commission (the “SEC”) filed a complaint alleging Michael Forster engaged in manipulative trading in connection with a microcap issuer he controlled, Cuba Beverage Company (CUBV), a purported energy drink company…. Read More