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The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he made false and misleading statements in corporate filings. The SEC’s order finds that David Lubin committed fraud while serving as a director and corporate counsel of Entertainment Art, a public company in which Lubin also was a large shareholder.  Lubin negotiated the sale of all of the outstanding stock of Entertainment Art, including both restricted and previously registered shares that were purportedly “free trading,” to an acquaintance interested in purchasing shell companies.  Absent a valid exemption, common ownership of all of the shares of a public company would require the owner to register the shares for resale to the public.  According to the SEC’s order, Lubin fraudulently misrepresented in Entertainment Art’s corporate filings that the purportedly free-trading shares had not been purchased by the acquaintance.  This left the false impression that those shares remained immediately available for public resale.  During the next two years and until he left the company, Lubin drafted and signed SEC filings that continued to lie about the true ownership of the company’s stock. According to the SEC’s order, soon after the company was renamed Biozoom, more than 14 million shares were resold to the public in an illegal unregistered distribution for illicit proceeds of $34 million.  The SEC froze assets from the unregistered sales in 2013. “As the SEC's order notes, Lubin drafted and signed misleading public filings and masked the true ownership and restricted nature of a significant portion of the company’s stock,” said Antonia Chion, Associate Director in the SEC’s Enforcement Division.  “Lubin’s deception led to many of these same shares being illegally resold to the general public by others a few years later.” The U.S. Attorney’s Office for the Southern District of Florida today announced criminal charges aga
19 Jul 2017, 3:11 pm by Mark Astarita
  The SEC’s order also prohibits Lubin from representing clients in SEC matters, including investigations, litigation, or examinations, and from advising clients about SEC filing obligations or content. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
New York Law Journal Decisions of Interest June 22, 2007
22 Jun 2007, 1:11 am
Corey Brown QUEENS COUNTYJuvenile LawVictim Did Not Waive Physician-Patient Privilege; Agency Denied Subpoena Releasing Medical Records Matter of Antonia E. [read post]
New York Supreme Court Criminal Term Library - http://crimlawlib.blogspot.com/
Parental Quandary Considered: The Sex Offender Next Door Is Not the Problem
26 Jan 2012, 7:01 pm by SO Issues
Original Article 01/26/2012 By KJ DELL’ANTONIA C. [read post]
Sex Offender Issues - http://sexoffenderissues.blogspot.com/
How to Deal With Grandparents Following a Divorce
22 May 2012, 9:00 am by J. Benjamin Stevens
Coffee, e-mails, texts are great. [read post]
South Carolina Family Law Blog - http://www.scfamilylaw.com/
Some men see things as they are, and ask why. I dream of things that never were, and ask why not.
16 Aug 2019, 7:34 am
“People have forgotten about how important places like Greenland were in the Cold War,” said Ronald E. [read post]
Althouse - http://althouse.blogspot.com/
Weekly Roundup: April 1-7, 2022
8 Apr 2022, 5:50 am
Lu, and Ram Sachs, Wachtell, Lipton, Rosen & Katz, on Wednesday, April 6, 2022 Tags: Audit committee, Boards of Directors, Disclosure, Environmental disclosure, ESG, SEC, Securities regulation Statement by Commissioner Peirce on In the Matter of Lloyd D. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Weekly Roundup: April 1-7, 2022
8 Apr 2022, 5:50 am
Lu, and Ram Sachs, Wachtell, Lipton, Rosen & Katz, on Wednesday, April 6, 2022 Tags: Audit committee, Boards of Directors, Disclosure, Environmental disclosure, ESG, SEC, Securities regulation Statement by Commissioner Peirce on In the Matter of Lloyd D. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Once bitten, twice (or thrice) shy
11 Aug 2019, 11:19 am by Giles Peaker
Antonia Halker, who appears for Mr Moorjani, argues that the court should focus not on the pleadings in the County Court claim but upon the judgment. [read post]
nearlylegal - http://nearlylegal.co.uk/blog
Early Edition: September 9, 2022
9 Sep 2022, 4:26 am by Emma Snell
Julian E. [read post]
Just Security - https://www.justsecurity.org/
Exclusion of evidence at trial for failure to identify witness in discovery
8 Nov 2017, 7:40 am by Wolfgang Demino
BERES and Reagan Beres, Appellees.No. 04-17-00044-CV Court of Appeals of Texas, Fourth District, San Antonio.Delivered and Filed: September 13, 2017.Appeal from the 166th Judicial District Court, Bexar County, Texas, Trial Court No. 2014-CI-06491, Honorable Michael E. [read post]
Texas Debt Suit Defense 101 - http://debt-suit-litigation-in-texas.blogspot.com
Exclusion of evidence at trial for failure to identify witness in discovery
8 Nov 2017, 7:40 am by Wolfgang Demino
BERES and Reagan Beres, Appellees.No. 04-17-00044-CV Court of Appeals of Texas, Fourth District, San Antonio.Delivered and Filed: September 13, 2017.Appeal from the 166th Judicial District Court, Bexar County, Texas, Trial Court No. 2014-CI-06491, Honorable Michael E. [read post]
Texas Debt Suit Defense 101 - http://debt-suit-litigation-in-texas.blogspot.com
Early Edition: April 19, 2024
19 Apr 2024, 4:46 am by Beatrice Yahia
Julian E. [read post]
Just Security - https://www.justsecurity.org/
SEC Speaks – What to Expect in 2016
23 Feb 2016, 7:36 am by Ken Herzinger
No. 3-16361, for violation of their duty to file suspicious activity reports (“SARs”); and its action against a current and former unit of E*Trade Financial Corporation, Admin. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
Early Edition: May 17, 2022
17 May 2022, 4:16 am by Emma Snell
Signup to receive the Early Edition in your inbox here. [read post]
Just Security - https://www.justsecurity.org/
Diversity-Fraud: Accent Delight v. Sotheby’s
15 Feb 2024, 9:22 am by centerforartlaw
E. [read post]
Center for Art Law Blog - http://itsartlaw.com