SEC Files Charges Against Ralph Pirtle and Morando Berrettini for Insider Trading

The Securities and Exchange Commission (SEC) announced on September 25, 2015 that on September 24, 2015, a jury in federal district court in Chicago, Illinois, returned a verdict finding Ralph J. Pirtle and Morando Berrettini responsible for insider ...
https://www.securitieslawyer101.com/?p=32130

Promised Riches In $32 Million Amber Mining Pyramid Scheme, Halted By The SEC

Going Public LawyerOn October 1, 2015, the Securities and Exchange Commission (“SEC”) announced it had frozen the assets and filed charges for fraud, against the operator of a worldwide pyramid scheme falsely promising investors that they would profit from a venture allegedly backed by the company’s enormous amber holdings. The SEC’s complaint, filed in federal court in Los Angeles, stated that California resident... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/promised-riches-in-32-million-amber-mining-pyramid-scheme-halted-by-the-sec/

FINRA Expels Halcyon Cabot Partners

The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief Compliance Officer Ronald Heineman from the securities industry, fo...
https://www.securitieslawyer101.com/2015/finra-expels-halcyon-cabot-partners/

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

Going Public LawyerOn September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the allegations in the SEC s complaint, to be permanently enjoined from violation of Sections 10(b) and 13(b)(5) of the Securities and Exchange Act of... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-files-settled-aiding-and-abetting-charges-against-joseph-apuzzo/

Anthony Knight Barred, Enjoined, and Fined for Unregistered Securities

Going Public LawyerOn Thursday, September 3, 2015, United States District Court Judge Denis R. Hurley of the United States District Court for the Eastern District of New York issued an order and judgment imposing relief against Defendant Anthony Knight, the former Chairman of failed Long Island-based internet startup, iShopNoMarkup.com, Inc. Judge Hurley ordered Knight to pay $2.3 million in disgorgement, over $2.5... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/anthony-knight-barred-enjoined-fined-for-unregistered-securities/

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the al...
https://www.securitieslawyer101.com/?p=32108

SEC Files Settled Aiding and Abetting Charges Against Joseph Apuzzo

On September 8, 2015, Judge Alvin Thompson of the U.S. District Court for the District of Connecticut entered a judgment against Joseph Apuzzo, former Chief Financial Officer of Terex Corporation. Apuzzo consented, without admitting or denying the al...
https://www.securitieslawyer101.com/?p=32108