Securities Law

SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings

September 27, 2023

The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. Five publicly… Full report at: Read More

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Intrusion Inc.

September 26, 2023

Intrusion Inc. Read the full report at Read More

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SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors

September 26, 2023

The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships… Full report at: Read More

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New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising

September 26, 2023

The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… Full report at: Read More

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SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds

September 26, 2023

The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. Bruderman, agreed to settle charges related to their failure to disclose the misuse of proceeds raised from… Full report at: Read More

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The Diamond Desk Corporation; Adam J. Lowe

September 26, 2023

The Diamond Desk Corporation; Adam J. Lowe Read the full report at Read More

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Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc.

September 25, 2023

Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. Read the full report at Read More

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SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme

September 25, 2023

The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million from more than 50 investors in a Ponzi scheme involving notes that were purportedly backed… Full report at: Read More

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Michael Caridi

September 25, 2023

Michael Caridi Read the full report at Read More

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SEC Charges GTT Communications for Disclosure Failures

September 25, 2023

The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission filings, which increased GTT’s reported operating income by… Full report at: Read More

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