Tag: SEC Enforcement

Arbitration Hearing
Arbitration Brokers Compliance Corp Finance Enforcement Investors Private Placements Public Offerings

What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com While securities law is itself a specialized field of law, there is more than one type of […]

Securities and Exchange Commission
Enforcement Private Placements

SEC Charges Silver Edge Financial LLC and Equity Acquisition Company Ltd. with Unregistered Broker-Dealer Activity

On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]

Securities and Exchange Commission

SEC Settles Charges Against African Gold Acquisition Corp. for Internal Controls, Reporting, and Recordkeeping Violations

The Securities and Exchange Commission (SEC) has settled charges against African Gold Acquisition Corp., a special purpose acquisition company (SPAC), for violating Exchange Act provisions related to internal controls, reporting, and recordkeeping. The SEC’s order alleges that the SPAC’s former chief financial officer misappropriated approximately $1.2 million from the company’s […]