Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, November 8, 2017

Randall James Settles Fraud Charges


On October 27, 2017, Randall James, Nashville, Tennessee resident, who isn't registered to sell investments, has agreed to settle charges that he defrauded investors in his company Global Maximus Productions, which purportedly produced pay-per-vie...
https://www.securitieslawyer101.com/?p=37049

Monday, November 6, 2017

Osiris Therapeutics Charged With Accounting Fraud


On November 2, 2017, the Securities and Exchange Commission ("SEC") charged Osiris Therapeutics, a Maryland-based biotech company, and four former top executives with prioritizing revenue growth over lawful accounting and misleading investors in th...
https://www.securitieslawyer101.com/?p=37052

Saturday, November 4, 2017

SEC Files Subpoena Enforcement Action against Wynn Gustafson


On October 31, 2017, the Securities and Exchange Commission ("SEC") announced that the SEC filed an action to enforce compliance with a document subpoena issued and served upon Wynn Gustafson in an SEC investigation captioned In the Matter of WAG ...
https://www.securitieslawyer101.com/?p=37042

Friday, November 3, 2017

Thomas Buck Settles Charges


On October 31, 2017, Thomas Buck, former Merrill Lynch broker, has agreed to pay more than $5 million to settle SEC charges that he fraudulently schemed to increase his personal income by obtaining excessive commissions and fees from investors. Ac...
https://www.securitieslawyer101.com/2017/thomas-buck-settles-charges/

Saturday, October 21, 2017

JustInfo LLC Charged for a Futures Trading Scheme


On October 11, 2017, the Securities and Exchange Commission ("SEC") announced fraud charges against JustInfo LLC, a Kentucky-based entity, a California-based tax preparer who solicited investors on behalf of the entity, and the entity's majority o...
https://www.securitieslawyer101.com/?p=37039

Friday, October 20, 2017

John Rogicki Charged with Stealing $9 Million


On October 19, 2017, the U.S. Securities and Exchange Commission ("SEC") charged John Rogicki, a New York-based investment adviser, with defrauding a non-profit charitable foundation out of $9 million. The SEC alleges that John Rogicki, managing d...
https://www.securitieslawyer101.com/?p=37036

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/