Wednesday, June 3, 2015
BrokerCheck Announces PR Campaign
On June 1, 2015, the Financial Industry Regulatory Authority (FINRA) announced that it had launched a campaign promoting BrokerCheck (brokercheck.finra.org). BrokerCheck allows investors to access information about a broker's employment history, ce...
https://www.securitieslawyer101.com/?p=31056
Retired Teachers Scammed In Ponzi Scheme
Going Public LawyerOn June 1, 2014, the Securities and Exchange Commission (SEC) announced it had brought charges in a Ponzi Scheme. According to the SEC Charges, the scheme was orchestrated by an investment adviser who took siphoned money from his investment fund and defrauded investors, including several local teachers and law enforcement officers. The SEC complaint alleges that Phil Donnahue Williamson conducted a Ponzi scheme with... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/ponzi-scheme-teachers/
Retired Teachers Scammed In Ponzi Scheme
On June 1, 2014, the Securities and Exchange Commission (SEC) announced it had brought charges in a Ponzi Scheme. According to the SEC Charges, the scheme was orchestrated by an investment adviser who took siphoned money from his investment fund...
https://www.securitieslawyer101.com/?p=31067
SEC Charges Four With Insider Trading Ahead of Secondary Offerings
On June 3, 2015, the Securities and Exchange Commission announced insider trading charges against four individuals stealing confidential information from investment banks and their public company clients in order to trade in advance of secondary st...
https://www.securitieslawyer101.com/?p=31063
Boiler Rooms Booming In 2015
Over the past few weeks, we have had multiple requests from investors to review information they received after boiler room. Boiler rooms are also referred to as "call centers" or "phone rooms". No doubt the increase in phone rooms has resulted f...
https://www.securitieslawyer101.com/2015/boiler-rooms/
Tuesday, June 2, 2015
Better Late Than Never - Corporate Hijackings
On June 2, 2015, the Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of four issuers to prevent corporate hijackings. The trading suspensions begin at 9:30 a.m. EDT on June 2, 2015 a...
https://www.securitieslawyer101.com/2015/corporate-hijackings-shell-expel/
Better Late Than Never - Corporate Hijackings
On June 2, 2015, the Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of four issuers to prevent corporate hijackings. The trading suspensions begin at 9:30 a.m. EDT on June 2, 2015 a...
https://www.securitieslawyer101.com/2015/corporate-hijackings-shell-expel/
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