Category Archives: sec enforcement

SEC Charges Repeat Securities Law Violator

August 13, 2019 The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities [...]

SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings

On November 29, 2018, the Securities and Exchange Commission (“SEC”) charged two celebrities with unlawfully [...]

What Happens if I Receive an SEC Subpoena?

What to do When You Are Flagged by the SEC and Receive an SEC Subpoena [...]

SEC Enforcement on the Rise in 2018

SEC Enforcement is on the rise in 2018 The Securities and Exchange Commission recently released [...]

SEC Enforcement During the Government Shutdown

SEC Enforcement During the Government Shutdown. Is the SEC enforcing its laws right now? On [...]

Suspended Trading in Securities of Nevada-Based American Retail Group, Inc.

The Securities and Exchange Commission suspended trading in the securities of Nevada-based American Retail Group, [...]

What is an Exemption from Registration

What is an “exemption from registration?” Regulation D’s Rule 504 and Rule 506 grant exemptions [...]

Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs?

Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs? Hester M. Pierce. Commissioner [...]

SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings

SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings On November 29, 2018, the [...]

SEC Charges Promoter with Penny Stock Market Manipulation Scheme

SEC Charges Promoter with Penny Stock Market Manipulation Scheme The Securities and Exchange Commission (“SEC”) [...]