Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, June 27, 2017

SEC Announces Additional Charges Against Anthony Portelli


On June 22, 2017, the Securities and Exchange Commission ("SEC") announced additional charges in an enforcement investigation involving Anthony Portelli, a Wall Street firm’s securities lending desk, and the improper handling of American Deposit...
https://www.securitieslawyer101.com/?p=36795

Monday, June 26, 2017

Pazoo, Inc. Used in Artificial Inflation Scheme


On June 21, 2017, the Securities and Exchange Commission ("SEC") charged a New Jersey-based group of stock promoters with fraud involving the manipulation and artificial inflation of the share price of a microcap company, Pazoo, Inc. The scheme gr...
https://www.securitieslawyer101.com/?p=36790

Friday, June 23, 2017

Seyed Taher Kameli Charged for Defrauding Investors


On June 22, 2017, the Securities and Exchange Commission ("SEC") charged Seyed Taher Kameli, a Chicago-based immigration attorney, with defrauding investors participating in the EB-5 immigrant investor program by improperly commingling and misusin...
https://www.securitieslawyer101.com/?p=36787

Thursday, June 22, 2017

SEC Charges Arista's CEO and Attorney


On June 20, 2017, the Securities and Exchange Commission ("SEC") announced charges involving a scheme to disguise the nature of Arista, a public company's financing amid financial difficulties, and a corresponding manipulation of the price of the c...
https://www.securitieslawyer101.com/?p=36784

Wednesday, June 21, 2017

Mark Northrop Barred by the SEC


On June 19, 2017, the Securities and Exchange Commission (“Commission”) deemed it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 203(f) of the Investment Advise...
https://www.securitieslawyer101.com/?p=36781

Tuesday, June 20, 2017

SEC Takes Action Against Ann Hiskey


  On June 19, 2017, the Securities and Exchange Commission (“Commission”) deemed it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securiti...
https://www.securitieslawyer101.com/?p=36776

Monday, June 19, 2017

SEC Charges CannaVEST Corp. with Fraud


On June 16, 2017, the Securities and Exchange Commission ("SEC") filed fraud charges against CannaVEST Corp., a Las Vegas-based hemp oil company, and its CEO for inflating the company's assets on its balance sheet. The SEC complaint filed in f...
https://www.securitieslawyer101.com/?p=36773

Friday, June 16, 2017

Antonio Katz Pleads Guilty to Criminal Charges


On June 1, 2017, Antonio Katz, a defendant in ongoing SEC litigation, pled guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Antonio Katz was charged with one count of conspiracy and one count of securities ...
https://www.securitieslawyer101.com/?p=36768