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SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards

15 Nov 2023, 6:26 am by jeffreynewmanadmin

LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]

Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/

SEC Announces Enforcement Results for Fiscal Year 2023

14 Nov 2023, 9:01 pm by renholding

LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]

The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/

SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in

14 Nov 2023, 4:30 pm by InvestorLawyers

(“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. [read post]

Investor Lawyers Blog - https://www.investorlawyers.net/blog/

Greenhouse Gas Data Confidentiality Takes Two Steps Forward

12 Nov 2023, 1:24 pm by Stuart Kaplow

A live webinar “How to Make ‘Net Zero’ Pledges and Claims” 30 talking points in 30 minutes, Tuesday, November 21 at 9 am ET presented by Stuart Kaplow and Nancy Hudes on behalf of ESG Legal Solutions, LLC. [read post]

Green Building Law Update - http://www.greenbuildinglawupdate.com/

John Matson Terminated By LPL For Selling Client Unapproved Investment

10 Nov 2023, 7:01 am by Silver Law Group

The service is free and available weekdays from 9:00 am to 5:00 pm Eastern time. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy

9 Nov 2023, 9:01 pm by renholding

I am pleased to be part of the 2023 conference on SEC Regulation Outside the United States to deliver the Fifth Annual Scott Friestad Memorial Lecture. [read post]

The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/

US Appeals Court Upholds Nasdaq Board Diversity Rule, However

5 Nov 2023, 1:02 pm by Stuart Kaplow

Join us for our live webinar “How to Make ‘Net Zero’ Pledges and Claims” 30 talking points in 30 minutes, Tuesday, November 21 at 9 am ET presented by Stuart Kaplow and Nancy Hudes on behalf of ESG Legal Solutions, LLC. [read post]

Green Building Law Update - http://www.greenbuildinglawupdate.com/

Can I Start More Than One LLC?

2 Nov 2023, 12:59 pm by Matthew Dochnal

You cannot be available at your address between 9:00 am and 4:00 pm on Monday through Friday to accept potential notices. [read post]

IncNow Blog - https://www.incnow.com/blog

Ask Cari: How to Keep Your LLC in Good Standing

1 Nov 2023, 9:00 pm by Cari Rincker

Am. [read post]

Food, Farm & Family Law Blog - https://rinckerlaw.com/blog

Tenth Circuit: Remain Thoughtful About Whether Your Insurance Claims Are Related

1 Nov 2023, 9:51 am by Geoffrey B. Fehling, S. Alice Weeks and Alex D. Pappas

The Tenth Circuit’s recent decision in Am. [read post]

Hunton Insurance Recovery Blog - https://www.huntoninsurancerecoveryblog.com/

What Do I Do If I am Involved in a Serious Car Accident While Pregnant?

26 Oct 2023, 10:15 am by zdr-admin

appeared first on Zevan Murphy, LLC. [read post]

Zevan Davidson Roman LLC Blog - https://www.zdrlawfirm.com/blog/

What Do I Do If I am Involved in a Serious Car Accident While Pregnant?

26 Oct 2023, 10:15 am by zdr-admin

appeared first on Zevan Davidson Roman, LLC. [read post]

Zevan Davidson Roman LLC Blog - https://www.zdrlawfirm.com/blog/

[Eugene Volokh] Do Religious Schools Have a Right to Exemption from State's Pronoun Policies?

23 Oct 2023, 7:02 am by Eugene Volokh

Miss United States of Am., LLC (9th Cir. 2022). [read post]

The Volokh Conspiracy - http://www.volokh.com/

Advantages of Adopting the Model State Indoor Air Quality Act: Prioritizing Human Health Amid Energy Concerns

22 Oct 2023, 4:08 pm by Stuart Kaplow

” 30 talking points in 30 minutes, Thurs, Oct 26 at 9 am EDT presented by Stuart Kaplow and Nancy Hudes on behalf of ESG Legal Solutions, LLC. [read post]

Green Building Law Update - http://www.greenbuildinglawupdate.com/

Blog Post: California Workers’ Compensation: Year 2023 in Review

19 Oct 2023, 11:55 am by Robin E. Kobayashi

LPL Financial LLC (2023) 91 Cal. [read post]

Legal Insights Blog - https://www.lexisnexis.com/community/insights/legal/

Arkansas orders land divestment from Chinese company

18 Oct 2023, 7:49 am by Nolan Zhu | Northwestern Pritzker Law School, US/CN

., a subsidiary of Syngenta Seeds, LLC… I am ordering ChemChina, as a ‘prohibited foreign-party-controlled business’ to divest this land within two years… Additionally, as the owner failed to file in a timely manner documents required by Act 1046 of 2021… I am also imposing a civil penalty of $280,000… The post Arkansas orders land divestment from Chinese company appeared first on JURIST - News. [read post]

JURIST - Paper Chase - https://www.jurist.org/news/

The Complex Fact/Law Divide in Obviousness Analysis

17 Oct 2023, 10:56 am by Dennis Crouch

Oct. 16, 2023) (quoting Elbit Sys. of Am., LLC v. [read post]

Patently-O - https://patentlyo.com

Trinity Info Media, LLC, fka Trinity Intel Media, LLC, v. Covalent, Inc., No. 2022-1308 (Fed. Cir. July 14, 2023) (“Opinion”)

6 Oct 2023, 2:46 pm by Evan Lim

LLC v. [read post]

Intellectual Property Law Blog - http://www.intellectualpropertylawblog.com/

[Eugene Volokh] #TheyLied Plaintiff Suing for Defamation Over Sexual Misconduct Accusations Can't Use Subpoena to Unmask Pro-Defendant GoFundMe Organizers

6 Oct 2023, 9:37 am by Eugene Volokh

Does 1-40 (S.D.N.Y. 2004), adopted by the Second Circuit Court of Appeals in Arista Recs., LLC v. [read post]