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Tag Archives: Unregistered Securities Transactions
SEC Charges Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in Offering Fraud
SEC v. Projaris Management, LLC et al., Case No. 1:13-cv-00849 (D.N.M.). On September 9, 2013, the SEC announced fraud charges against Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Emergency Freeze in Connection with Illegal Sales of Biozoom Stock
SEC v. Magdalena Tavella et al., Case No. 13 CIV 4609 (S.D.N.Y.). On July 3, 2013, the SEC announced charges against eight Argentine citizens for selling millions of shares of Biozoom. The SEC also obtained an emergency order to freeze … Continue reading
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Tagged SEC, Securities Act, Unregistered Securities Transactions
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SEC Charges Robert Hurd and His Company in Investment Scheme Touting Alzheimer’s Treatment
SEC v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Case No. 13-CV-04464-RGK (JCGx) (C.D. Cal.). On June 21, 2013, the SEC announced it filed charges against Your Best Memories International Inc. and its president, Robert Hurd for fraud. … Continue reading
SEC and CFTC Charge Cyprus-Based Banc de Binary with Illegally Selling Binary Options
SEC v. Banc de Binary Ltd., Case No. 2:13-cv-00993 (D. Nev.). On June 6, 2013, the SEC announced charges against Banc de Binary for unlawfully selling binary options. Binary options are options contracts where the payout depends on whether the … Continue reading
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Tagged CFTC, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Michael Bartoszek and his Penny Stock Company with Fraud and Insider Trading
SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek, Case No. 13-cv-3887 (S.D.N.Y.). On June 5, 2013, the SEC announced charges against Laidlaw Energy Group and its CEO Michael B. Bartoszek. According to the SEC, Bartoszek sold billions of … Continue reading
SEC Charges Mark Morrow and His Firm with Offering Fraud
SEC v. Detroit Memorial Partners, LLC and Mark Morrow, Case No. 1:13-cv-01817 WSD (N.D. Ga.). On June 3, 2013, the SEC announced it charged Detroit Memorial Partners, LLC (“DMP”) and its managing member, Mark Morrow in an offering fraud. The SEC … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Glenn Hoppes and His Companies with Offering Fraud in Connection with Oil Drilling Projects
SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, Case No. 8:13-cv-00868-SDM-AEP (M.D. Fl.). On April 8, 2013, the SEC announced an enforcement action against Glenn … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Temporary Restraining Order against British Internet Investment Scheme
SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Case No. 1:13-cv-1104 (D. Ga.). On April 4, 2013, the SEC announced it filed an emergency enforcement action against Inter … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Obtains Emergency Order Halting Alleged Investment Scheme by John Rohner
SEC v. Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner, Case No. 2:13-cv-00344 GMN (D. Nev.). On March 8, 2013, the SEC announced it obtained an emergency order halting an alleged investment scheme. The SEC alleged that John P. … Continue reading
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Tagged Fraud, SEC, Securities Act, Securities Exchange Act, Unregistered Securities Transactions
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SEC Charges Attorney Brian Reiss with Fraud for Legal Opinion Letters
SEC v. Brian R. Reiss, Case No. 13-cv-1537 (S.D.N.Y.). On March 7, 2013, the SEC announced fraud charges against California attorney Brian Reiss for issuing legal opinion letters without any basis. A legal opinion letter is one provided to transfer … Continue reading
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Tagged Fraud, Penny Stock, SEC, Securities Exchange Act, Unregistered Securities Transactions
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Securities Enforcement Blog 