Securities Law

Ronald T. Molo

October 7, 2022

SEC Obtains Default Judgment Against Former IIIinois Investment Professional Charged with Fraud Read the full report at Read More

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SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments

October 7, 2022

The Securities and Exchange Commission today reopened the public comment periods for 11 Commission rulemaking releases and one request for comment due to a technological error that resulted in a number of public comments submitted through the Commission’… Full report at: Read More

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Small Business Advisory Committee to Host Meeting to Discuss Entrepreneurship Hubs and the IPO Market

October 6, 2022

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Thursday, Oct. 13, which will address entrepreneurship hubs and recent trends in taking a company public.… Full report at: Read More

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The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern

October 6, 2022

CEO of Hydrogen’s “Market Maker” Also Being Charged for Role in Scheme Read the full report at Read More

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Justin Costello and David Ferraro

October 6, 2022

SEC Charges Man for Defrauding Investors Out of Millions of Dollars by Posing as Hedge Fund Billionaire Read the full report at Read More

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Donald J. Kellen

October 6, 2022

SEC Obtains Final Judgment Against Investment Adviser Representative Donald Kellen Read the full report at Read More

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JMJ Capital Group and Richard Lee Ramirez

October 4, 2022

SEC Charges Southern California Firm with Operating a Ponzi-Type Scheme Read the full report at Read More

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Harpreet Saini and John Lester Mandac Natividad

October 3, 2022

SEC Charges Two Canadian Software Engineers with Insider Trading Read the full report at Read More

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SEC to Spotlight Financial Planning and Resilience during World Investor Week 2022

October 3, 2022

The Securities and Exchange Commission today announced that it will highlight the importance of long-term planning and investor resilience during World Investor Week (WIW) 2022, which takes place October 3-9. Planning for life’s unexpected… Full report at: Read More

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SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security

October 3, 2022

The Securities and Exchange Commission today announced charges against Kim Kardashian for touting on social media a crypto asset security offered and sold by EthereumMax without disclosing the payment she received for the promotion. Kardashian agreed to… Full report at: Read More

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