Securities Law

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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David Stephens et al.

October 1, 2022

SEC Charges Four Defendants in Connection with Fraudulent Scheme to Sell Public Company Stock Read the full report at Read More

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Charles Rustin Holzer, Fernando Motta Moraes

September 30, 2022

SEC Charges Family Office Executives with Insider Trading Read the full report at Read More

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Ari Lauer

September 30, 2022

SEC Charges California Attorney for Role in $910 Million Ponzi Scheme Read the full report at Read More

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SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

September 30, 2022

The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant… Full report at: Read More

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