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Securities Law Blogs

Record Number of FINRA Enforcement Cases Expected
Last month we learned that FINRA Enforcement fines were up, and set to surpass last year's fines. If you need any more convincing that now is the time to insure that your policies and procedures are compliant, FINRA is saying that it is on pace to...

California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme
The SEC announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped to a...

Bank of America Admits Disclosure Failures to Settle SEC Charges
The SEC announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans. Bank of America also...

SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
The SEC charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution. The SEC alleges that the former executive, then a senior vice president at Eastern...

Securities Fraud Cases Can Be Criminal Cases
Defending a SEC securities fraud case is not simply about the civil charges and penalties. Most securities law violations are also criminal violations, and violators can be charged both civilly and criminally. As securities litigators, we are...

SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
A Houston-based penny stock company and four individuals are being charged after the SEC discovered they were behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology to...

SEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme
The SEC is charging New York-based brokerage firm Linkbrokers Derivatives LLC with unlawfully taking secret profits of more than $18 million from customers by adding hidden markups and markdowns to their trades. According to the SEC’s order...

Considering a Direct Private Placement?
As the markets and the economy recovers, we start to see more requests for assistance in capital raises, either for investments in hedge funds, private equity groups, or in issuers through private placements. On occasion, we are contacted by...

Avoiding Marijuana Stock Scams
It seems that whenever something new comes along, there are investors willing to jump on a perceived opportunity to profit from the next new thing. It seems that medical marijuana is that next new thing. We wrote about  marijuana stock scams...

SEC Continues to Permit Reps to Sell their Company's Stock to Clients
Dually registered investment advisory and broker-dealer firms will be able to continue selling stock from their own accounts to some clients, the Securities and Exchange Commission said. The SEC has announced it plans to extend by another two...


SEC Litigation Releases:

Federal Court Grants Sec’S Motion for Summary Judgment and Enters Final Judgment Against Atlanta-Area Registered Representative Blake Richards for Securities Fraud Violations
Blake Richards

The U.S. Securities and Exchange Commission Charged a Director of Market Intelligence At a Manhattan-Based Investor Relations Firm with Insider Trading Ahead of Impending News Announcements by More Than a Dozen Clients.
Michael Anthony Dupre Lucarelli

SEC Charges Former Cleveland-Area Investment Promoter with $18 Million Scheme
Oscar F. Villarreal

SEC Charges Company and Four Individuals Behind Pump-And-Dump Scheme Touting Technology to End Fracking
Andrew I. Farmer, et al.

SEC Charges Colorado Resident with Offering Fraud Involving Smart-Phone App Technology
Heidi Ann Gamer, Gamer Economic Systems, LLC, and Gamer Media Partners Corp.

SEC Charges Former Bank Executive and Friend with Insider Trading Ahead of Acquisition
J. Patrick O’Neill and Robert H. Bray

The Securities and Exchange Commission Today Charged Two Residential Real Estate Developers with Insider Trading in the Stock of a Restaurant Company Based On a Tip from Their Accountant in Advance of a Tender Offer Announcement.
Moshe Manoah and Blair G. Schlossberg

SEC Files Subpoena Enforcement Action Against Joseph D. Stilwell for Failure to Appear for Testimony in Investigation of Stilwell Value, LLC
Joseph D. Stilwell

On Wednesday, the Securities and Exchange Commission Charged an Accounting Firm Partner in Atlanta and One of His Clients with Insider Trading in the Stock of a Restaurant Company Based On Confidential Information the Accountant Learned from Another Client On the Board of Directors Who Came to Him for Tax Advice in Advance of a Tender Offer Announcement.
Donald S. Toth and James A. Nash

Jury Returns Verdict Against Massachusetts Investment Adviser in SEC Fraud Case
Sage Advisory Group, LLC and Benjamin Lee Grant

News Stories:
UPDATE 1-EU seeks rivals' feedback on Facebook, WhatsApp deal
* Commission decision expected by Oct. 3 (Recasts, adds Commission questionnaire)

U.S. case dismissal won't dim regulatory glare for base metals sector
SYDNEY/LONDON, Sept 1 (Reuters) - Industrial metals will stay in sharp regulatory focus, even tho...

Banks to get some preliminary ECB results a month early -document
FRANKFURT, Sept 1 (Reuters) - Banks will get preliminary information on how they have fared in th...

France's Moscovici likely to get EC economic affairs role-source
PARIS, Sept 1 (Reuters) - Former French finance minister Pierre Moscovici has a "good chance" of ...

EU decision on Zimmer's $13.4 bln Biomet deal expected by Oct. 3
BRUSSELS, Sept 1 (Reuters) - European Union antitrust regulators will decide by Oct. 3 whether to...

EU regulators set Oct. 3 deadline for Eli Lilly, Novartis deal
BRUSSELS, Sept 1 (Reuters) - European Union competition regulators have until Oct. 3 to decide wh...

Disputed Kurdish oil tanker reappears off Texas coast, still full
HOUSTON, Sept 1 (Reuters) - A tanker carrying disputed Iraqi Kurdish crude oil reappeared on sate...

UPDATE 2-China gives Microsoft 20 days to provide explanation in anti-trust probe
BEIJING, Sept 1 (Reuters) - A Chinese anti-trust regulator said on Monday it has given Microsoft ...

EU regulators to decide on Facebook, WhatsApp deal by Oct. 3
BRUSSELS, Sept 1 (Reuters) - European Union antitrust regulators will decide by Oct. 3 whether to...

UPDATE 1-China gives Microsoft 20 days to provide explanation in anti-trust probe
BEIJING, Sept 1 (Reuters) - A Chinese anti-trust regulator said on Monday it has given Microsoft ...



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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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