SEC Charges Danny Williams Former Executive of a Truckload Freight Company with Accounting Fraud
On May 9,2019, the SEC charged Danny Williams, the former President of Quality Companies, LLC, a former subsidiary of Indianapolis-based Celadon Group Inc., with an accounting fraud that allowed Celadon to avoid disclosing substantial losses and misrepresent its… Read More
Category: Blog Posts Tags: Danny Williams, OTC Markets, Penny Stock, Pump and Dump. SEC Trading Suspension, SEC Action, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Toxic Lender, trading suspension, Truckload Freight, Unregistered Dealer
SEC Obtains Final Judgment Against Rocco Roveccio for Defrauding Customers
On May 3, 2019, a federal district court entered a final consent judgment against Rocco Roveccio, a broker who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts, which enriched the broker… Read More
SEC Obtains Asset Freeze in Connection with Alleged Insider Trading
The SEC announced on April 29,2019, the entry of an emergency court order freezing assets related to alleged insider trading that yielded approximately $2.5 million in profits in connection with the April 12, 2019 announcement that oil-and-gas conglomerate… Read More
Category: Blog Posts Tags: insider trading, OTC Markets, Penny Stock, Pump and Dump. SEC Trading Suspension, SEC Action, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Toxic Lender, trading suspension, Unregistered Dealer
SEC Charges Christopher Dougherty, an Investment Adviser with Running a Ponzi Scheme
On April 26, 2019, the SEC charged Christopher Dougherty and several entities he controlled, with operating a Ponzi scheme that defrauded his investment advisory clients out of $7 million. The San Diego District Attorney’s Office separately announced criminal… Read More
Category: Blog Posts Tags: Christopher Dougherty, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense
Former Broker Zachary Berkey Ordered to Pay SEC Disgorgement and Penalties
On April 18, 2019, the United States District Court for the Southern District of New York, ordered a former broker, Zachary Berkey, to pay $106,000 in disgorgement, plus prejudgment interest, and $71,000 in civil penalties. The SEC charged… Read More
Category: Blog Posts Tags: Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense, Zachary Berkey
SEC Charges Eric Lyons For Misappropriation and Fraudulent Securities Offering
On April 23, 2019, the SEC obtained an emergency asset freeze and temporary restraining order to halt an ongoing fraudulent securities offering by Eric Lyons, a Massachusetts resident, in an attempt to conceal his misappropriation from certain hedge… Read More
Category: Blog Posts Tags: Eric Lyons, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense
SEC Charges David Loflin in Greenway Design Pump-and-Dump
The SEC charged David Loflin on April 22,2019, for his role in a pump-and-dump scheme in the stock of Greenway Design Group, Inc., a Phoenix, Arizona company that was secretly controlled by David Loflin’s now-deceased business partner. According to… Read More
Category: Blog Posts Tags: David Loflin, Exchange Act, fraud, Greenway Design Group, investor, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense
SEC Charges Kimberly Sredich with Misappropriation Scheme
On April 18, 2019, the SEC charged Kimberly Sredich, a Michigan resident, with misappropriating funds from brokerage customers of a registered broker-dealer with which she was associated. The SEC’s complaint alleges that between 2014 and 2018, Kimberly Sredich… Read More
Category: Blog Posts Tags: investor, Kimberly Sredich, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Case, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC regulation, SEC Suit, SEC Trading Suspension, Section 1(b), Securities Fraud, Securities Law Defense
SEC Charges Yuh-Yue Chen, a California Engineer with Insider Trading
The SEC announced on April 18,2019, the filing of insider trading charges against Yuh-Yue Chen, a former engineer at Skyworks Solutions, Inc., a Massachusetts-based company with executive offices and a design center in Irvine, California that designs, manufactures… Read More
Category: Blog Posts Tags: Exchange Act, Inc, investor, kyworks Solutions, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense, Yuh-Yue Chen
SEC Obtains Final Judgments Against Joseph Meli and Parties involved in Ticket Resale Scams
On April 11, 2019, two federal court judges entered final judgments against Joseph Meli, a New York City man, and six of his companies, in connection with two SEC cases that charged Joseph Meli with operating multi-million dollar… Read More
Category: Blog Posts Tags: 27 Holdings, Advance Entertainment, Advance Entertainment II, Exchange Act, ICO Fraud, ICO Scam, investor, Joseph Meli, LLC, Matthew Harriton, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense, Ticket Resale
SEC Charges Woodbridge Directors, Ivan Acevedo and Dane Roseman with Fraud
On April 11, 2019, the SEC charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane Roseman, were separately arrested and… Read More
Category: Blog Posts Tags: Dane Roseman, Ivan Acevedo, Microcap Action, Microcap Investor, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Action, Penny Stock Bar, Penny Stock Bars, Penny Stock Fraud, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense
SEC Charges Investment Adviser, Gonzalo Ortiz with Securities Fraud
The SEC filed a civil injunctive action on April 10,2019, charging a New Jersey resident, Gonzalo Ortiz with defrauding an investor by lying about his trading success, concealing trading losses, and misappropriating funds. The SEC’s complaint, filed in… Read More
Category: Blog Posts Tags: fraud, Gonzalo Ortiz, Penny Stock Issuer, ponzi scheme, Rule 10b-5, SEC, SEC Action, SEC Administrative Proceeding, SEC Allegation, SEC Attorney, SEC Case, SEC Charge, SEC Charges, SEC Claim, SEC Complaint, SEC Defendant, SEC Defense, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Investigation, SEC Judgment, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Order, SEC Penny Stock Bar, SEC regulation, SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 10(b), Section 5, Securities Act, Securities Exchange Act of 1934, Securities Fraud, Securities Law Defense
SEC Charges Former Seaworld Associate General Counsel, Paul Powers with Insider Trading
On April 10, 2019, the SEC charged Paul Powers, a former senior lawyer at SeaWorld Entertainment Inc with insider trading based on nonpublic information that the company’s revenue would be better than anticipated for the second quarter of… Read More
Final Judgment Against Robert DePalo, a Broker Charged with Stealing from Investors
On February 5, 2019, the SEC obtained a final judgment against a New York-based broker, Robert DePalo who was charged with orchestrating a $6.5 million offering fraud. In May 2015, the SEC charged Robert DePalo with defrauding over twenty investors… Read More
SEC Charges College Official for Fraudulently Concealing Financial Troubles from Investors
On March 28, 2019, the SEC charged Keith Borge, the former controller of a New York-based not-for-profit college with defrauding municipal securities investors by fraudulently concealing the college’s deteriorating finances. According to the SEC’s complaint, in recent years,… Read More
Category: Blog Posts Tags: OTC Markets, Penny Stock, Pump and Dump. SEC Trading Suspension, SEC Action, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Toxic Lender, trading suspension, Unregistered Dealer
SEC Shuts Down Fraudulent Investment Advisor Who Was Targeting the Israeli-American Community
The SE announced on April 1, 2019 that it had halted an ongoing investment fraud by Investment Advisor Motty Mizrahi targeting members of the Jewish community, primarily in the Los Angeles, California region. The SEC filed an emergency… Read More
Category: Blog Posts Tags: investment advisor, OTC Markets, Penny Stock, Pump and Dump. SEC Trading Suspension, SEC Action, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, Securities and Exchange Commission, Securities Fraud, Toxic Lender, trading suspension, Unregistered Dealer
SEC Charges Investment Adviser with Long-Running Securities Fraud
On March 22, 2019, the SEC charged registered investment adviser Direct Lending Investments, LLC with a multi-year fraud that resulted in approximately $11 million in over-charges of management and performance fees to its private funds, as well as… Read More
SEC Halts Ponzi Scheme Targeting Vietnamese Investors
The SEC announced fraud charges and an asset freeze on March 18, 2019, against the operators of a $25 million Ponzi scheme falsely promising high annual returns with minimal to no risk to investors in the Vietnamese community of Orange… Read More
SEC Charges Texas Radio Host for Ponzi Scheme Targeting Elderly Investors
The SEC announced on March 12, 2019 that it has charged Texas resident William Neil “Doc” Gallagher-the self-styled “Money Doctor” featured on three Dallas-area radio stations-in an emergency action to shut down a $19.6 million Ponzi scheme targeting… Read More
Category: Blog Posts Tags: insider trading, Money Doctor, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer, William Neil "Doc" Gallagher
SEC Settles with Joseph Frank Vacante, Biotech Insider Trader
The SEC charged on February 21, 2019, Joseph Frank Vacante, a former employee of a biotech company with insider trading on confidential information regarding the company’s withdrawal of certain products from consideration by the U.S. FDA. Joseph Frank… Read More
Category: Blog Posts Tags: insider trading, Joseph Frank Vacante, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Obtains Final Judgment Against Joseph Frank Vacante, Former Broker for Defrauding Customers
On March 1, 2019, a federal district court entered a final consent judgment against broker, William Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts that enriched the broker at… Read More
Category: Blog Posts Tags: insider trading, Joseph Frank Vacante, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Announces Settlement Against Former Investment Adviser, James Polese
On February 22,2019 the SEC announced the entry of a final judgment against James Polese, a former investment adviser at a large financial institution who was charged with misappropriating client funds. On January 31, 2018, the Commission filed… Read More
Category: Blog Posts Tags: insider trading, James Polese, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Files Charges against Joshua Sason in Elaborate Microcap Stock Fraud
On February 15, 2019 the SEC announced charges against four individuals and related businesses for their roles in two microcap frauds and unlawful securities offerings. In sum, the alleged illegal transactions resulted in proceeds of more than $25… Read More
Category: Blog Posts Tags: Joshua Sason, Magna Group, Microcap Stock, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Charges Former Executives of Lucent Polymers, a Plastics Manufacturer with Fraud
On February 12, 2019, the SEC charged two former high-ranking executives, of an Indiana-based plastics manufacturer with concealing from potential buyers of the manufacturer the fact that the company’s core business model was a sham. According to the… Read More
Category: Blog Posts Tags: insider trading, Lucent Polymers, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
Court Imposes Lifetime Officer-And-Director Bars On Michael J. Kipp, Swisher’s former CFO, and Joanne K. Viard
A federal district court has permanently barred two former corporate officers of a North Carolina-based hygiene and sanitation company from serving as officers or directors of public companies. The SEC charged the two officers of Swisher Hygiene, Inc., Michael… Read More
Category: Blog Posts Tags: County, dodd-frank, FINRA Halt, fraud, Investor Loss, Investor Victims, Joanne Viard, lifetime bar, Michael Kipp, nasdaq, nyse, Officer Director Bar, OTC Markets, Penny Stock Bar, ponzi scheme, Scalping, scam, SEC, SEC Action, SEC Actions, SEC Administrative Proceeding, SEC anti-fraud, SEC Attorney, sec bar, SEC Bounty, SEC Charges, SEC Claim, SEC Complaint, 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 Section 17(b), SEC Subpoena, SEC Suit, SEC Trading Suspension, Section 17(b), Section 5 violation, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Fraud, Securities Indictment, Securities Law Defense, SPAC, stock manipulation, stock scheme, Wells Notice
SEC Obtains Final Judgment Against Niket Shah in Ponzi Scheme Targeting Retail Investors
The SEC obtained a final judgment on February 8, 2018, against Niket Shah, a New Jersey resident who was charged last year by the agency with stealing more than $250,000 in a Ponzi scheme in which his friends… Read More
Category: Blog Posts Tags: Niket Shah, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Charges Robert Alexander, Founder of Online Gaming Company for Defrauding Investors
On February 7,2019, the SEC charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments in Kizzang LLC, a purported online gaming business. According to the SEC’s complaint, among other misrepresentations,… Read More
Category: Blog Posts Tags: Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, Robert Alexander, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
Due Diligence in Accredited Crowdfunding Offerings – Securities Lawyer 101
Even though Accredited Crowdfunding Offerings are exempt under Rule 506(c) and no specific disclosure requirements apply, under most circumstances, the anti-fraud provisions mandate disclosure of certain information to investors
Category: Blog Posts Tags: Accredited Investor, Accredited Investor Verification, Accredited Investor Verification Provider, Crowdfund, Crowdfunding, Crowdfunding Capital Raise, Crowdfunding Financing, Crowdfunding Lawyer, Form C, Private Placement, Regulation CF, Regulation CF Attorney, Regulation CF Attorneys, Regulation CF Capital Raise, Regulation CF Crowdfunding, Regulation CF Funding, Regulation CF Law Firm, Regulation CF Lawyer, Regulation CF Lawyers, Regulation CF offering, Regulation CF Requirements, Regulation Crowdfunding, Regulation Crowdfunding Attorney, Regulation Crowdfunding attorneys, Regulation Crowdfunding Lawyers, Regulation Crowdfunding Offering, Regulation Crowdfunding Reporting, Regulation Crowdfunding Requirements, Regulation Crowdfunding SEC Reporting, Regulation D, Rule 506, Rule 506 (b), Rule 506-c, Rule 506(c), Securities Offering
SEC Charges Taiwan-Based Insurance, China United with Fraudulent Market Manipulation Scheme
A Taiwan-based insurance company, China United Insurance Service, Inc. and one of its former managers have agreed to settle fraud charges brought by the SEC relating to a scheme to manipulate the company’s trading volume. The complaint alleges that,… Read More
Category: Blog Posts Tags: insider trading, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
SEC Obtains Judgment Against Former CEO John Place
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: insider trading, John Place, Officer Director Bar, OTC Markets, Penny Stock, ponzi scheme, Pump and Dump. SEC Trading Suspension, SEC Action, sec bar, SEC Complaint, SEC enforcement, SEC enforcement action, SEC Investigation, SEC Subpoena, SEC Suit, Securities and Exchange Commission, Securities Fraud, Toxic Lender, Trading Suspension Insider Trading, Unregistered Dealer
