Search for: "Securities and Exhange Commission" Results 1 - 3 of 3
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Legal Crowdfunding of Equity Under State Blue Sky Laws
29 Aug 2012, 9:20 am by christopher
For the full text of the not yet implemented by the Securities and Exhange Commission “Crowdfund Act of 2012,” click HERE Personally, I am not thrilled with the legal machinations via attorneys that will be required under the Act. [read post]
In Between Cases - http://harvardlaw74.com
SEC Permanently Bars Advisor Michael Shillin after Criminal Fraud Charges 
11 Jan 2022, 12:45 pm by The White Law Group
  According to the Securities and Exhange Commission (SEC) on January 22, the regulator has permanently barred former investment advisor Michael Shillin, who is also facing federal fraud charges. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Charges Aegis Capital Corp. and two Reps with Unsuitable Recommendations  
1 Aug 2022, 10:10 am by The White Law Group
Alan Appelbaum, Paul Gallivan of Aegis Allegedly recommended Highly Complex Structured Products to customers  According to a press release on July 29, 2022, the Securities and Exhange Commission reportedly charged Aegis Capital Corp., former Aegis Managing Director Alan Z. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/