Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Saturday, August 9, 2014

SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management

Going Public LawyerSecurities Law Blog On August, 8, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Julian Brown and his firm Alliance Investment Management Limited (AIM).  According to the SEC allegations, Julian Brown purported to be the custodian for assets under the management of Nikolai Battoo. The SEC obtained a court-ordered freeze over Battoo s assets after charging him in... Read MoreGoing Public Lawyer

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