Genarme & Ezat Rahimi Settle SEC Charges By: Brenda Hamilton SEC Attorney

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog Settlements have been approved resolving claims by the Securities and Exchange Commission against Gendarme Capital Corporation, its former principal, Ezat Rahimi, and its former attorney, Cassandra Armento. The SEC’s complaint had alleged that the defendants violated Section 5 of the Securities Act of 1933, by offering and selling the securities of several issuers without a filed... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/gendarme/

SEC Charges Ronald Drewery With Insider Trading By: Brenda Hamilton Lawyer

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog On May 27, 2014, the Securities and Exchange Commission (the SEC ) charged Ronald L. Drewery with insider trading in the stock of a publicly-traded insurance company shortly before the announcement of that company s acquisition. The SEC alleges that Defendant Drewery misappropriated material nonpublic information regarding the impending acquisition of Mercer Insurance Group, Inc. ( Mercer ).According to the SEC,... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/ronald-drewery/

SEC Charges John Bensen & DGSE Companies By: Brenda Hamilton Attorney

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog On May 27, 2014, the Securities and Exchange Commission (the SEC ) announced accounting fraud charges against a Dallas-based company and its former chief financial officer for manipulating its inventory accounts.   The SEC alleges that I. John Benson made repeated false accounting entries that materially inflated the value of inventory on the balance sheets at DGSE Companies... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/john-bensen/

Securities Lawyers Gone Wild – Marcus Luna

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog On May 23, 2014, the Securities and Exchange Commission (the “SEC”) barred Marcus A. Luna, an attorney working in Henderson, Nevada, from practicing before the Commission.  The action stemmed from a penny stock fraud in which Luna was involved in 2006.  The SEC had sued Luna, three associates, and four companies controlled by them in 2014. ... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/marcus-luna/

SEC Charges Steven McCraw By: Brenda Hamilton Florida Attorney

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog On May 30, 2014, the Securities and Exchange Commission filed charges against Steven McCraw for aiding and abetting a fraudulent forex trading scheme.   The SEC alleges that McCraw knowingly or recklessly provided substantial assistance to Kevin G. White and his company, KGW Capital Management, LLC, in perpetrating a fraudulent scheme that raised approximately $7.4 million between... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/steven-mccraw/

SEC Settles Charges Against Florida Couple in Charity Fraud Case By: Brenda Hamilton Attorney

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer 101 Blog May 29, 2014, the Securities and Exchange Commission announced that a Florida husband and wife that were charged last year with defrauding seniors through a purported charitable organization agreed to pay more than $2 million and be barred from the securities industry. The SEC filed its enforcement action in February 2013 against Richard and Susan Olive and their... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/richard-olive/

SEC SEC Charges Neal V. Goyal in Ponzi Scheme By: Brenda Hamilton Attorney

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneySecurities Lawyer Blog On May 28, 2014, the Securities and Exchange Commission (the SEC ) obtained a court order freezing assets and halting a fraudulent scheme by Chicago, Illinois-based investment adviser Neal V. Goyal. In its complaint, the SEC alleges that Goyal told investors that the private funds he managed would invest in securities following a long-short trading strategy. According to... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
http://www.securitieslawyer101.com/neal-goyal/