Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, April 9, 2014

SEC Settles Fictitious Offering Case l Securities Lawyer 101

The Securities and Exchange Commission announced that on March 4, 2014, Judge Rosemary Collyer entered a final judgment against relief defendant Mia Baldassari. The Commission’s complaint alleged that Baldassari received $24,500 in investor funds to which she had no lawful claim.

Without admitting or denying the allegations of the complaint, Baldassari consented to the entry of a final judgment that orders that she is liable for
disgorgement of $24,500, and that such amount shall be deemed satisfied from funds she deposited into the court’s account.
Also on March 4, 2014, at the Commission’s request, the court dismissed relief defendant Brett A. Cooper from the action. Cooper is now a principal defendant in a separate enforcement action the Commission filed alleging that he and several of his companies perpetrated fraudulent investment schemes from 2008 to 2012.

For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton Florida, (561) 416-8956, by email at info@securitieslawyer101.com or visit www.securitieslawyer101.com.

This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. For more information about going public and the rules and regulations affecting the use of Rule 144, Form 8K, crowdfunding,FINRA Rule 6490Rule 506private placement offerings and memorandums, Regulation A, Rule 504 offerings, SEC reporting requirements, SEC registration statements on Form S-1 IPO’s, OTC Pink Sheet listings, Form 10 OTCBB and OTC Markets disclosure requirements, DTC Chills, Global Locks, reverse mergers, public shells, direct public offerings and direct public offerings please contact Hamilton and Associates at (561) 416-8956 or info@securitieslawyer101.com. Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855
 www.SecuritiesLawyer101.com

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