Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, October 12, 2017

SEC Charges Attorney Marc Celello


On October 5, 2017, the Securities and Exchange Commission ("SEC") announced that it filed fraud charges against an attorney Marc Celello based on his alleged participation in a Ponzi scheme. The SEC's complaint, filed in federal court in Atlanta ...
https://www.securitieslawyer101.com/?p=37033

Friday, October 6, 2017

Richard Cody Indicted for Investment Adviser Fraud and Lying to the SEC


On October 5, 2017, Richard Cody, a former investment adviser and broker representative, whom the Securities and Exchange Commission ("SEC") has charged with defrauding Massachusetts retirees, has been indicted for deceiving and manipulating his ...
https://www.securitieslawyer101.com/2017/richard-cody-indicted-fraud-lying/

Friday, September 29, 2017

Robert Stewart Receives Final Judgement


On September 28, 2017, the Securities and Exchange Commission ("SEC") obtained a final judgment against Robert Stewart, the former chief financial officer of a technology company and certified public accountant, who was charged, along with his son...
https://www.securitieslawyer101.com/?p=37017

Tuesday, September 26, 2017

Justin Cary Charged with Insider Trading


On September 21, 2017, the Securities and Exchange Commission ("SEC") charged Justin Cary, a California-based Certified Public Accountant, with insider trading ahead of an acquisition offer for an advertising technology company. According to the ...
https://www.securitieslawyer101.com/?p=37014

Monday, September 25, 2017

Aegerion Pharmaceuticals Lied About Sales Metrics


On September 22, 2017, the Securities and Exchange Commission ("SEC") filed fraud charges against Aegerion Pharmaceuticals, a Massachusetts-based bio-pharmaceutical company, that exaggerated how many new patients actually filled prescriptions for ...
https://www.securitieslawyer101.com/?p=37011

Friday, September 22, 2017

Woodbridge Ordered to Produce Corporate Documents


On September 21, 2017, the Securities and Exchange Commission ("SEC") obtained an order requiring the Woodbridge Group of Companies LLC, of Sherman Oaks, California, to produce the corporate documents of several company executives and employees, i...
https://www.securitieslawyer101.com/2017/woodbridge-ordered-produce-documents/

Woodbridge Ordered to Produce Corporate Documents


On September 21, 2017, the Securities and Exchange Commission ("SEC") obtained an order requiring the Woodbridge Group of Companies LLC, of Sherman Oaks, California, to produce the corporate documents of several company executives and employees, inc...
https://www.securitieslawyer101.com/2017/woodbridge-ordered-produce-documents/

Thursday, September 21, 2017

Peter Chang Charged for Insider Trading


On September 20, 2017, the Securities and Exchange Commission ("SEC") charged Peter Chang, the former CEO of a Silicon Valley-based fiber optics company, with insider trading in company stock by using secret brokerage accounts held in the names of...
https://www.securitieslawyer101.com/?p=37001