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Securities Law Blogs

Five Ways Fraudsters Trick Investors
"People fall for fraud because fraudsters are that good with special effects. It seems that real," Michael Hendon, a representative from the Commodity Futures Trading Commission. At a recent securities law summit, government representives reveiwed...

Let Us Know - Ebola Related Scams
While there have been a significant number of deaths from Ebola, the "outbreak" seemed to be largely a news story scam, at least in the United States. It is therefore hard to believe that a serious investor would even consider an investment in an...

SEC Press Releases
India-Based Operators Charged for High-Yield Investment Scheme Using Social Media Charges have been announced against two India-based operators of an alleged high-yield investment scheme seeking to exploit investors through pervasive social media...

Important SEC Press Releases
California-Based Bio-Rad Laboratories Charged With FCPA Violations A clinical diagnostic and life science research company based in California has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries made...

Judge Rakoff Questions the SEC's Overuse of Administrative Proceeding
Judge Jef Rakoff, of the Southern District of New York, is a frequent critic of the Securities and Exchange Commission. Last week he gave the keynote address at the Practicing Law Institute's Securities Regulation Conference. Judge Rakoff shared...

New Confidentiality Requirement in Customer Discovery and Settlement Agreements
Experienced securities law attorneys know that it is a violation of FINRA rules to include a confidentiality provision in a settlement agreement with a customer that prohibits the customer from discussing the case with a regulator. While we do...

Firms Sanctioned for Investor Protection Rule Violations in Puerto Rico Bonds
All municipal bond offerings include a “minimum denomination” that establishes the smallest amount of the bonds that a dealer firm is allowed to sell an investor in a single transaction.  This minimum helps to protect investors and municipal...

Richard Berry to Head FINRA Dispute Resolution
FINRA has announced that Richard Berry will be the new head of FINRA Dispute Resolution. Mr. Berry will replace Linda Fienberg, who retires at the end of November after 18 years in her current job. He is presently the unit's director of case...

Last Week's SEC Press Releases
Fraud Charges Against New York Businessman A New York businessman and his software company are accused of making false statements to investors while raising more than $3 million to fund operations Charges Against Investment Advisory Firm and Top...

Is Dodd-Frank Responsible For Market Volatility?
Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets. Read More - Did Bank Rules Kill...


SEC Litigation Releases:

SEC Charges CEO and Close Friend with Insider Trading Ahead of Company Sale
William E. Redmond, Jr., and Stefano Signorastri

SEC Charges Three Penny Stock Promoters Behind Pump-And-Dump Schemes
Anthony J. Thompson, Jr., Jay Fung, and Eric Van Nguyen

SEC Charges Unregistered Broker in Tampa Area with Stealing from Investors in Fraudulent Day Trading Scheme
Albert J. Scipione

SEC Charges Canadian Life Settlement Company in Pump-And-Dump Scheme
Forum National Investments Ltd., et al.

SEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-And-Dump Scheme
Joseph A. Noel

On November 14, 2014, the Securities and Exchange Commission Announced That It Had Filed a Motion Asking the Court to Establish an Approximately $602 Million Fair Fund for Investor Victims Pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002.
CR Intrinsic Investors, LLC et al.

SEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud
Wilfred T. Azar, III, et al.

Boston-Area Defendant in SEC Insider Trading Case Faces Criminal Charges
J. Patrick O'Neill and Robert H. Bray

On November 5, 2014, the Securities and Exchange Commission Filed an Emergency Action Alleging That from At Least 2004 to the Present, Eric W. Johnson, of Hinsdale, Illinois, Misappropriated At Least $1 Million from Certain of His Advisory Clients.
Eric W. Johnson

SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker
Richard Weed et al.

News Stories:
U.S. judge blocks New Jersey sports betting law
Nov 21 (Reuters) - A U.S. federal judge on Friday blocked a New Jersey law that would have allowe...

Chrysler says it will speed up recall repairs for Jeep SUVs
Nov 21 (Reuters) - Chrysler Group LLC said on Friday it was not satisfied with the speed of repai...

Samsung files ITC complaint to block Nvidia chips from U.S. - Bloomberg
Nov 21 (Reuters) - South Korea's Samsung Electronics Co Ltd has filed a complaint with the U.S. I...

UPDATE 3-Telecom Italia seals $1 bln masts deal, to examine tie up with Oi
* Telecom Italia to sell Brazilian towers for over 900 mln euros

UPDATE 1-U.S. court stays FCC order to disclose TV programming contracts
Nov 21 (Reuters) - A U.S. federal appeals court has stayed the Federal Communications Commission'...

UPDATE 3-European Parliament may propose Google break-up in draft resolution
(Adds details of probe, context, lawmakers and industry comments)

CORRECTED-FDA approves Purdue's painkiller that can reduce abuse
(In Nov. 20 story, corrects final paragraph to show Embeda treats pain, not opioid dependence)

U.S. export lender hands over documents to Congress
WASHINGTON, Nov 21 (Reuters) - The U.S. Export-Import Bank handed over transcripts of board meeti...

U.S. court stays FCC order to disclose TV programming contracts
Nov 21 (Reuters) - A U.S. federal appeals court has stayed the Federal Communications Commission'...

Bank of America hires U.S. officials for financial crime team
Nov 21 (Reuters) - Bank of America has hired two U.S. government officials to join its financial ...



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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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