SEC Tips l Ask Securities Lawyer 101
Going Public LawyerSecurities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) frequently receives tips from whistlblowers. SEC tips from whistleblowers are provided in a variety of ways....
View ArticleSEC Awards Whistleblower Bounty
Going Public LawyerSecurities Lawyer 101 Blog On October 31, 2013, the Securities and Exchange Commission (the “SEC”) announced an award of more than $150,000 to a whistleblower whose tips helped the...
View ArticleSEC Report Reveals $439,000,000 Remains For Bounties
Going Public LawyerSecurities Lawyer 101 Blog The SEC’s 2013 Annual Report to congress on the Dodd-Frank whistleblower Program shows whistleblowers from 55 countries submitted tips to the SEC. Under...
View Article$875,000 Awarded to SEC Whistleblower By: Brenda Hamilton Attorney
Going Public LawyerSecurities Lawyer 101 Blog This week the Securities and Exchange Commission (the “SEC”) announced a whistleblower award of more than $875,000 to be split evenly between two...
View ArticleSEC Rewards Dodd-Frank Whistleblowers
Going Public LawyerSecurities Lawyer 101 Blog On August 30, 2013, the Securities and Exchange Commission (the “SEC”) announced that it had awarded three whistleblowers for tips and information they...
View ArticleWhistleblower Award $14 Million Bounty By SEC
Going Public LawyerSecurities Lawyer 101 Blog On October 1, 2013, the Securities and Exchange Commission (the “SEC”) announced it had awarded more than $14 million to a whistleblower whose information...
View ArticleSEC Awards Whistleblowers For Reporting Securities Fraud
Securities Lawyer 101 On January 22, 2020, the Securities and Exchange Commission (“SEC”) announced two whistleblower awards in connection with two separate SEC enforcement actions. Both...
View ArticleCourt Enters Judgments Against Promoters in Pump-And-Dump Scheme
Securities Lawyer 101 The Securities and Exchange Commission announced that the U.S. District Court for the Central District of California entered final judgments against the remaining three defendants...
View ArticleSEC Charges Under Armour Inc With Disclosure Failures
Securities Lawyer 101 The Securities and Exchange Commission charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the basis of its revenue growth and failing to...
View ArticleMark Lisser Pleads Guilty to Securities Fraud Conspiracy
Securities Lawyer 101 Earlier today, in federal court in Central Islip, Mark Lisser pleaded guilty to securities fraud conspiracy for lying to customers about investments in shares of several companies...
View ArticleSEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity...
Securities Lawyer 101 The Securities and Exchange Commission announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life...
View ArticleThere has never been a better time to be a Whistleblower
Securities Lawyer 101 Since the start of the whistleblower program, the SEC has received more than 26,000 whistleblower submissions. Those tips have led to more than $3.5 billion in investor losses...
View ArticleDavid C. Coggins Sentenced for $1.3 Million Securities Fraud Scheme
Securities Lawyer 101 On Friday, May 14, 2021, David C Coggins, 42, of Miami, was sentenced to 51 months in prison, followed by 36 months of supervised release, and ordered to pay $1,305,000 in...
View ArticleGoing Public: Myths and Misinformation about Reverse Mergers
Securities Lawyer 101 Myths and misinformation: The truth behind reverse mergers. What is really the best way to go public? Direct Public Offering vs Reverse Merger - which is the best choice for your...
View ArticleTwo Jackson Men Charged in Multi-Million Dollar Fraud Scheme Conspiracy
Securities Lawyer 101 On May 20, 2021, Ted Brent Alexander and Jon Darrell Seawright both of Jackson, Mississippi, were indicted by a federal grand jury for their roles in a large multi-million dollar...
View ArticleSEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Securities Lawyer 101 On May 19, 2021, the Securities and Exchange Commission charged a New Jersey-based healthcare company and its founder, Josiah David (formerly known as Dennis Lee), with...
View ArticleThe SEC just suspended my stock! Now what?
Securities Lawyer 101 It can be the worst feeling in the world. You wake up, get your trading station all ready for a new day of profitable trading, but then the unthinkable happens. The market opens,...
View ArticleSEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities...
Securities Lawyer 101 On May 28, 2021, the SEC announced charges against five individuals alleging that they promoted a global unregistered digital asset securities offering that raised over $2 billion...
View ArticleSEC Charges RenovaCare, Inc and its Controlling Shareholder with Securities...
Securities Lawyer 101 On May 28, 2021, the SEC charged RenovaCare Inc (RCAR) and its controlling shareholder, Harmel S. Rayat, with securities fraud for intentionally concealing Rayat and the company's...
View ArticleSenators Leahy and Grassley Introduce EB-5 Investor Visa Integrity Reform Bill
Securities Lawyer 101 Senator Patrick Leahy (D-Vt.), a senior member and former chairman of the Judiciary Committee, and Senator Chuck Grassley (R-Iowa), Ranking Member of the Senate Judiciary...
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