SEC Charges Jeffrey Berkowitz & Others By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog On May 24, 2014, the Securities and Exchange Commission announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with roots in South Florida.  In complaints filed in federal court in Miami, the SEC charged five penny stock promoters... Read More
http://www.securitieslawyer101.com/jeff-berkowitz/

Jeffrey Berkowitz & Others Indicted By: Brenda Hamilton Attorney

The FBI announced indictments of six individuals today in connection with microcap fraud.  Jeffrey Berkowitz, 57, of Palm Beach County, a stock promoter, was charged by information with conspiracy to engage in a scheme to manipulate the publicly q...
http://www.securitieslawyer101.com/jeffrey-berkowitz/

Jeffrey Berkowitz & Others Indicted By: Brenda Hamilton Attorney

The FBI announced indictments of six individuals today in connection with microcap fraud.  Jeffrey Berkowitz, 57, of Palm Beach County, a stock promoter, was charged by information with conspiracy to engage in a scheme to manipulate the publicly q...
http://www.securitieslawyer101.com/jeffrey-berkowitz/

Jeffrey Berkowitz & Others Indicted By: Brenda Hamilton Attorney

The FBI announced indictments of six individuals today in connection with microcap fraud.  Jeffrey Berkowitz, 57, of Palm Beach County, a stock promoter, was charged by information with conspiracy to engage in a scheme to manipulate the publicly q...
http://www.securitieslawyer101.com/jeffrey-berkowitz/

SEC Charges Jeff Berkowitz & Others By: Brenda Hamilton Attorney

On May 24, 2014, the Securities and Exchange Commission announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with roots in So...
http://www.securitieslawyer101.com/jeff-berkowitz/

SEC Suspends Andalusian Resorts By: Brenda Hamilton Attorey

Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (the “SEC”) announced  the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the ...
http://www.securitieslawyer101.com/andalusian-resorts/

SEC Charges Four Pension Officials for Regulation SHO Violations By:Brenda Hamilton

Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against four former officials at clearing firm Penson Financial Services for their roles in Regulation SHO violations. An SEC investigation found that Penson’s securities lending practices intentionally and systematically violated Rule 204 under Reg. SHO.  The SEC’s Enforcement Division alleges that Penson’s chief... Read More
http://www.securitieslawyer101.com/pension-financial/