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Press Releases: Charges for Investment Scheme on Social Media, and Broker Charged in Offering Fraud
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...

SEC Press Releases - Accusation of Pump and Dump, Day Trading Scheme, Insider Trading, False Press Releases and more
Three Penny Stock Promoters Behind Pump-and-Dump Schemes Three penny stock promoters have been charged with conducting pump-and-dump schemes involving stocks they were touting in their supposedly independent newsletters. Two Former Defense...

Advisors Have Leverage
Executive Recruiter Mindy Diamond finds that compliant advisors, with $100 million in assets under management, are in the driver's seat in the recruiting scene.  We represent advisors across the country, insuring that they are in fact compliant,...

Citigroup Global Markets Fined for Equity Research Supervision Failures
FINRA fined Citigroup Global Markets, finding that from January 2005 to February 2014, Citigroup failed to meet its supervisory obligations regarding the potential selective dissemination of non-public research to clients and sales and trading...

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...

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...

 

SEC Litigation Releases:

SEC Charges Principals of a Texas Oil and Gas Company with Conducting a Fraudulent Offering, and Charges Seller with Acting as an Unregistered Broker
Paul R. Downey, et al.

SEC Brings Proceeding to Enforce Compliance with Consent Order to Pay Over $2 Million and Seeks Joint and Several Liability Against Control Persons
Hold Brothers On-Line Investment Services, LLC, now known as Tafferer Trading, LLC, Gregory Hold, and Steven Hold

SEC Charges Former Solutia Executive with Insider Trading
D. Michael Donnelly

The Securities and Exchange Commission Today Charged Father-And-Son Executives At a New Jersey-Based Penny Stock Company for Issuing False and Misleading Press Releases While Secretly Selling Thousands of Their Own Stock Shares Into the Market
Robert Benou, Marc Benou, and Conolog Corporation

Court Enters Judgments Against Former Massachusetts-Based Boiler Room Operator and His Companies, Also Indicted by Grand Jury
Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, an

Jeremy Fisher Sentenced to 30 Months for Offering Fraud
Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC

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.

News Stories:
INVESTMENT FOCUS-Scandal and squeeze on fees sharpens funds' focus on forex
* Currency-rigging probe brings extra scrutiny to FX market

Medtronic wins conditional EU approval for $43 bln Covidien buy
BRUSSELS, Nov 28 (Reuters) - U.S. medical device maker Medtronic gained European Union regulatory...

UPDATE 2-Japan may expand air bag recalls; worried about impact on industry
* Potential additional Japan recalls to be from Honda, Mazda

France, Italy, Belgium promise reform in letters to EU -Dombrovskis
BRUSSELS, Nov 28 (Reuters) - France, Italy and Belgium have sent letters to the European Commissi...

Germany backs Blackberry's purchase of Secusmart
BERLIN, Nov 28 (Reuters) - Germany has approved Canadian smartphone maker Blackberry's planned ac...

PRESS DIGEST- Canada - Nov 28
Nov 28 (Reuters) - The following are the top stories from selected Canadian newspapers. Reuters h...

EU postpones ruling on French, Italian fiscal policy till March
BRUSSELS, Nov 28 (Reuters) - The European Commission postponed until March its decision on whethe...

Novartis says heart-failure drug wins faster review in Europe
ZURICH, Nov 28 (Reuters) - Novartis' new heart failure drug was granted a speedier evaluation by ...

New rules, low rates push European companies into risky investments
* Negative ECB rates mean cash investors risk losing money

PRESS DIGEST - Wall Street Journal - Nov 28
Nov 28 (Reuters) - The following are the top stories in the Wall Street Journal. Reuters has not ...


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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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