Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

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

Monday, September 18, 2017

Mayank Gupta Settles Insider Trading Charges


On September 13, 2017, the Securities and Exchange Commission ("SEC") announced that Mayank Gupta, a former auditor, has agreed to settle charges that he tipped his relative with inside information about a client on the verge of a merger. The SEC'...
https://www.securitieslawyer101.com/2017/mayank-gupta/

Thursday, September 14, 2017

Scott Newsholme Charged with Stealing Investor Funds


On September 6, 2017, the Securities and Exchange Commission  ("SEC") charged Scott Newsholme, a New Jersey-based tax preparer and investment adviser, with stealing more than $1 million from clients to support his gambling habit and other persona...
https://www.securitieslawyer101.com/?p=36989

Wednesday, September 6, 2017

Louis Navellier Charged for False Performance Claims


On August 31, 2017, the Securities and Exchange Commission ("SEC") announced fraud charges against investment adviser Navellier & Associates, Inc. and its founder and chief investment officer, Louis Navellier. The SEC's complaint, filed in fe...
https://www.securitieslawyer101.com/?p=36982

Tuesday, September 5, 2017

Leon Vaccarelli Charged With Fraud


On August 31, 2017, the Securities and Exchange Commission ("SEC") charged Connecticut-based broker representative and investment adviser Leon Vaccarelli and his company with fraudulently persuading several elderly customers to invest with him and ...
https://www.securitieslawyer101.com/?p=36979

Friday, September 1, 2017

Celator Pharmaceuticals Employees Charged With Insider Trading


On August 31, 2017, the Securities and Exchange Commission ("SEC") charged an accountant and three others with insider trading on market-moving news about Celator Pharmaceuticals, the New Jersey-based pharmaceutical company where the accountant fo...
https://www.securitieslawyer101.com/?p=36976