Securities Lawyers Gone Wild l Three-Time Felon & Lawyer Indicted

Securities Lawyer 101 Blog On April 6, 2014, Texas attorney Richard Plato was  indicted  for mail fraud and securities fraud. Plato is a disbarred attorney who has been convicted in three separate criminal cases, including money laundering and wire fraud in the collapse of a large Florida insurer.   The indictment of Plato by a Texas grand jury is for... Read More
http://www.securitieslawyer101.com/richard-plato/

International Businessman Pleads Guilty to Scamming Investors

Securities Lawyer 101 Blog On April 8, 2014, Sven Erik Ulsteen, a former executive and shareholder of a Channel Islands company named Anturion Limited, pled guilty to fraudulently using counterfeit and forged securities to take over $2 million from ...
http://www.securitieslawyer101.com/anturion-limited/

Securities Lawyers Gone Wild l Three-Time Felon & Lawyer Indicted In Scheme

Securities Lawyer 101 Blog On April 6, 2014, Texas attorney Richard Plato was  indicted  for mail fraud and securities fraud, Plato is a disbarred attorney who has been convicted in three separate criminal cases, including money laundering and wir...
http://www.securitieslawyer101.com/richard-plato/

Fund Manager Brian Callahan Pleads Guilty In $96 Million Ponzi Scheme

On April 29, 2014, Brian Callahan, 44, pleaded guilty to one count of securities fraud and one count of wire fraud for operating a $96 million Ponzi scheme through his various offshore investment funds. Pursuant to his plea agreement with the government, Callahan has agreed to the forfeiture of $67.4 million, which includes proceeds from the sale of his former... Read More
http://www.securitieslawyer101.com/brian-callahan/

Fund Manager Brian Callahan Pleads Guilty In $96 Million Ponzi Scheme

On April 29, 2014, Brian Callahan, 44, pleaded guilty to one count of securities fraud and one count of wire fraud for operating a $96 million Ponzi scheme through his various offshore investment funds. Pursuant to his plea agreement with the governm...
http://www.securitieslawyer101.com/brian-callahan/

Pointers for Going Public With a Direct Public Offering

Securities Lawyer 101 Blog More and more issuers going public opt for a direct public offering. In a direct public offering management sells shares of the company s stock directly to investors, rather than through the efforts of an underwriter. A direct public offering eliminates costs and risks associated with reverse merger transactions. Companies using a direct public offering should consider... Read More
http://www.securitieslawyer101.com/direct-public-offering-2/

SEC Charges Chris Choi & Poker Player Danny Kuo l Posted by Brenda Hamilton Attorney

On April 23, 2014, the Securities and Exchange Commission(the “SEC”) filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped a friend with confidential company information that set in motion a chain of tipping and illegal trading among a network of hedge fund traders who reaped millions of dollars in illicit gains.  The