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January 2022 Ponzi Schemes

From Kathy Bazoian Phelps’ seclaw.com/glossary/ponzi-scheme/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Ponzi Scheme Blo. The reported stories reflect at least 5 new Ponzi schemes worldwide, 3 guilty pleas, more than 48 years of prison sentences, and an average age of approximately 47 for the alleged Ponzi schemers. https://www.linkedin.com/feed/update/urn:li:activity:6895247004092514304

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Securities Enforcement Investigations

SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]

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What Does a Securities Lawyer Do?

While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are transactional securities lawyers, who help companies raise capital, obtain and maintain listings on a seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>stock exchanges, assist in mergers and acquisitions and perform the varied reporting requirements for […]

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SEC Subpoena, FINRA OTR – What do I do?

The SEC Serves a Subpoena, or seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]

Credit Suisse
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Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings

Credit Suisse Group AG has agreed to pay nearly $475 million to U.S. and U.K authorities, including nearly $100 million to the Securities and Exchange Commission, for fraudulently misleading investors and violating the Foreign Corrupt Practices Act (FCPA… Read the Full Press Release Have a securities law question? Call Sallah […]