Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, November 5, 2015

Settlement Reached in Vladimir Eydelman Insider Trading Case


Going Public LawyerOn October 23, 2015 the Securities and Exchange Commission (SEC) announced a settlement with a stockbroker who was previously charged with insider trading in advance of over a dozen pending corporate transactions. These charges found Vladimir Eydelman guilty of insider trading and claims... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/settlement-reached-in-vladimir-eydelman-insider-trading-case/

Why Operation Shell Expel Gets an F


Between January of 2000 and present, the Securities and Exchange Commission (the "SEC") has suspended or halted thousands of publicly traded companies under its highly publicized agenda known as Operation shell Expel.  Many were dormant penny s...
https://www.securitieslawyer101.com/2015/why-operation-shell-expel-gets-an-f/

Darren Ofsink Indicted – Securities Lawyers Gone Wild


Going Public LawyerOn November 4, 2015, the U.S. Attorney for the Eastern District of New York announced that Darren Ofsink, a Manhattan attorney and founder of Ofsink LLC; Michael Morris, a registered broker and managing director of Halcyon Cabot Partners, Ltd.... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/securities-lawyers-gone-wild-darren-ofsink-indicted/

Default Judgment Grants Full Relief Against Premiere Power and Its Chairman in Offering Fraud


Going Public LawyerOn October 21, 2015 the Securities and Exchange Commission (SEC) announced that on October 9, 2015, the United States District Court for the Southern District of New York entered default judgments against Premiere Power, LLC and its Chairman,... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/default-judgment-grants-full-relief-against-premiere-power-and-its-chairman-in-offering-fraud/

Securities Lawyers Gone Wild - Darren Ofsink Indicted


On November 4, 2015, the U.S. Attorney for the Eastern District of New York announced that Darren Ofsink, a Manhattan attorney and founder of Ofsink LLC; Michael Morris, a registered broker and managing director of Halcyon Cabot Partners, Ltd. (Ha...
https://www.securitieslawyer101.com/2015/securities-lawyers-gone-wild-darren-ofsink-indicted/

Donald Lester and His Private Firm Charged with Fraud


Going Public LawyerOn October 16, 2015, the Securities and Exchange Commission (SEC) filed fraud and other charges against Donald Lester and his private equity firm, Rubicon Alliance, LLC ( Rubicon ). According to the SEC s fraud complaint, from about January 2010 through December... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/donald-lester-and-his-private-firm-charged-with-fraud/

Keeping A Close Watch On Equity Crowdfunding


Going Public LawyerWith equity crowdfunding now legal, we can expect to see the Securities & Exchange Commission (“SEC”) keeping a close watch for unregistered broker dealers and funding portals. In an administrative proceeding a few weeks ago, the SEC ordered... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/keeping-a-close-watch-on-equity-crowdfunding/

Schedule 13D and 13G Filing Requirements Securities Lawyer 101 Q&A


Going Public LawyerCommon Questions About Schedule 13D and 13G Filing Requirements For Public Companies In going public transactions, a company can register a class of securities and thereby become subject to the SEC’s reporting requirements by filing a Form 10... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/schedule-13d-and-13g-filing-requirements-securities-lawyer-101-qa/

Hedge Fund Manager Lonny Bernath Charged with Fraud


Going Public LawyerOn October 13, 2015, the Securities and Exchange Commission (SEC) charged a hedge fund manager from Charlotte, Lonny Bernath, with defrauding investors in three hedge funds over several years. The SEC filed a complaint stating that between at least 2007 and 2011, Bernath instructed three funds that were managed by his investment advisory firm to make loans to and investments in illiquid real... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/hedge-fund-manager-lonny-bernath-charged-with-fraud/

SEC Obtains Summary Judgment Against Andrew Farmer in Pump-And-Dump Scheme


Going Public LawyerThe Securities and Exchange Commission (SEC) announced on October 9, 2015, that on October 7, 2015, it secured a summary judgment on all of its claims against Andrew Farmer in a market manipulation case involving the securities of Chimera Energy Corp.  The SEC suspended trading in Chimera Energy stock in 2012. In its memorandum and order, the Honorable Keith I. Ellison of the... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-obtains-summary-judgment-against-andrew-farmer-in-pump-and-dump-scheme/

Default Judgment Grants Full Relief Against Premiere Power and Its Chairman in Offering Fraud


On October 21, 2015 the Securities and Exchange Commission (SEC) announced that on October 9, 2015, the United States District Court for the Southern District of New York entered default judgments against Premiere Power, LLC and its Chairman, Jerry J...
https://www.securitieslawyer101.com/?p=32508

Donald Lester and His Private Firm Charged with Fraud


On October 16, 2015, the Securities and Exchange Commission (SEC) filed fraud and other charges against Donald Lester and his private equity firm, Rubicon Alliance, LLC ("Rubicon"). According to the SEC's fraud complaint, from about January 2010 thr...
https://www.securitieslawyer101.com/?p=32498