Securities Law

Kendricks, et al., Mark Wayne Ramsey

September 27, 2022

SEC Settles Insider Trading Charges Against Former Investment Banking Analyst and Associate of Former Nfl Player Read the full report at Read More

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SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act

September 27, 2022

The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United… Full report at: Read More

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Timothy Barton, et al.

September 26, 2022

SEC Charges Fraud in Real Estate Investment Offering Read the full report at Read More

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Judith Paris-Pinder

September 26, 2022

SEC Charges Florida Resident with Operating a $2.3 Million Ponzi Scheme Targeting Haitian-American Community Read the full report at Read More

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SEC Charges Father-Son Duo and Associate in Market Manipulation Schemes Resulting in a New Jersey Deli with a $100 Million Valuation

September 26, 2022

The Securities and Exchange Commission today charged Peter L. Coker Sr., Peter L. Coker Jr., and James T. Patten for their roles in orchestrating fraudulent manipulative securities trading schemes. These schemes included artificially inflating the… Full report at: Read More

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Morningview Financial, LLC and Miles M. Riccio, et al.

September 23, 2022

SEC Charges Convertible Note Firm and Its Managing Member with Acting as Unregistered Securities Dealers Read the full report at Read More

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SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine

September 23, 2022

The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in… Full report at: Read More

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Brian Lam, et al.

September 23, 2022

SEC Charges Los Angeles-Based Company and Its Principal with Perpetrating an $11.7 Million Offering Fraud Targeting the Vietnamese-American Community Read the full report at Read More

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Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX

September 22, 2022

The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s… Full report at: Read More

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Michael Weiss

September 22, 2022

SEC Charges Former Ey Employee with Insider Trading Read the full report at Read More

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