Securities Law

Andrew M. Komarow

December 8, 2023

Andrew M. Komarow Read the full report at Read More

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Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC

December 7, 2023

The Securities and Exchange Commission today announced that Daniel R. Gregus, Director of the Chicago Regional Office, will leave the agency at the end of December after more than 30 years of service. Vanessa Horton and Kathryn Pyszka will become Acting… Full report at: Read More

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Raymond J. Pirrello, Jr., et al.

December 7, 2023

Raymond J. Pirrello, Jr., et al. Read the full report at Read More

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SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme

December 7, 2023

The Securities and Exchange Commission today announced charges against Raymond J. Pirrello, Jr., Marcello Follano, Robert Cassino, Anthony DiTucci, Joseph Rivera, and their New Jersey or New York-based companies Prior 2 IPO Inc., Late Stage Asset… Full report at: Read More

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CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko

December 5, 2023

CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko Read the full report at Read More

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SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research

December 5, 2023

The Office of the Investor Advocate of the Securities and Exchange Commission today published its Report on Activities for the Fiscal Year 2023 to Congress. The report highlights the work of the Office during the fiscal year. Notable highlights from the… Full report at: Read More

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SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting

November 30, 2023

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels: Practical Applications for… Full report at: Read More

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SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud

November 29, 2023

The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company ArciTerra Companies LLC and its CEO, Jonathan M. Larmore, for engaging in a multi-year scheme to misappropriate millions of dollars… Full report at: Read More

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Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco

November 29, 2023

Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco Read the full report at Read More

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Joseph M. Dupont et al.

November 28, 2023

Joseph M. Dupont et al. Read the full report at Read More

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