Securities Law

Adam E. Levin; Rick Bentley

September 27, 2023

Adam E. Levin; Rick Bentley Read the full report at Read More

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SEC Charges Three Southern California Siblings with Insider Trading

September 27, 2023

The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia P. Durbin for insider trading before the April 2021 announcement of an offer by storage company United Rentals… Full report at: Read More

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Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. Barr

September 27, 2023

Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. Barr Read the full report at Read More

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Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen

September 27, 2023

Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen Read the full report at Read More

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SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings

September 27, 2023

The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. Five publicly… Full report at: Read More

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Intrusion Inc.

September 26, 2023

Intrusion Inc. Read the full report at Read More

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SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors

September 26, 2023

The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships… Full report at: Read More

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SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts

September 26, 2023

The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash… Full report at: Read More

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New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising

September 26, 2023

The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… Full report at: Read More

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The Diamond Desk Corporation; Adam J. Lowe

September 26, 2023

The Diamond Desk Corporation; Adam J. Lowe Read the full report at Read More

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