Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, February 28, 2017

SEC Brings Cases Related to Disclosures During Battles for Corporate Control


On February 14, 2017, the Securities and Exchange Commission (the "SEC") announced two SEC enforcement actions involving disclosure violations that deprived investors of material information during battles for corporate control of pub...
https://www.securitieslawyer101.com/?p=36326

Monday, February 27, 2017

Chinese Citizens Gain Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition


  On February 10, 2017 the Securities and Exchange Commission (SEC) announced that it obtained an emergency court order freezing brokerage accounts holding more than $29 million in illegal profits from insider trading in adv...
https://www.securitieslawyer101.com/?p=36301

Sunday, February 26, 2017

Financial Adviser Funds Lavish Lifestyle by Stealing from Client Accounts


  The Securities and Exchange Commission (SEC) on February 3, 2017 charged Barry Connell, an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers...
https://www.securitieslawyer101.com/?p=36305

Friday, February 24, 2017

Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures


  The Securities and Exchange Commission (SEC) on February 13, 2017 announced that Sidoti & Company LLC, a New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of compliance and trading su...
https://www.securitieslawyer101.com/?p=36308

Thursday, February 23, 2017

Purported Real Estate Investment Manager Settles Fraud Charges


The Securities and Exchange Commission (SEC) on February 14, 2017 announced that James P. Toner Jr, a purported real estate investment manager has agreed to pay more than a half-million dollars to settle charges that he pocketed investor money in a...
https://www.securitieslawyer101.com/2017/purported-real-estate-investment-manager-settles-fraud-charges/

SEC Sues Investment Adviser Who Turned Thief


  On February 2, 2017 the Securities and Exchange Commission (the "SEC") charged Sentinel Growth Fund Management and its founder Mark J. Varacchi  with stealing money from investors to settle a private lawsuit among other thing...
https://www.securitieslawyer101.com/?p=36298

Wednesday, February 22, 2017

Cases Related to Disclosures During Battles for Corporate Control


The Securities and Exchange Commission (SEC) on February 14, 2017 announced two enforcement actions involving disclosure violations that deprived investors of material information during battles for corporate control of publicly t...
https://www.securitieslawyer101.com/2017/cases-related-disclosures-battles-corporate-control/

Morgan Stanley Settles Charges Related to ETF Investments


On February 14, 2017, the SEC announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s ...
https://www.securitieslawyer101.com/2017/morgan-stanley-settles-charges-related-etf-investments/

Friday, February 17, 2017

Former Shell Company, Terminus Energy and Its Officers Charged With Securities Fraud


On February 14, 2017 the Securities and Exchange Commission (the "SE"C) charged Terminus Energy, Inc and four corporate officers with securities fraud. According to the SEC, Terminus Energy and its four officers misleading investors abo...
https://www.securitieslawyer101.com/2017/terminus-energy-charged-with-securities-fraud/

Wednesday, February 1, 2017

FBI Informant Guy Gentile's Indictment Is Tossed by Judge


Guy Gentile Gets Good News On January 30, 2017, brokerage firm owner Guy Gentile got the good news he'd been hoping for:  Judge Jose Linares of the United States District Court for the District of New Jersey had dismissed the indictment filed aga...
https://www.securitieslawyer101.com/2017/fbi-informant-guy-gentiles-indictment-tossed-judge/