Articles Posted in Sales of Unregistered Securities

South Florida Sale of Unregistered Securities Litigation Attorney. Securities and Exchange Commission v. Rafael Antonio Calleja, Jr., Civil Action No. 16-CV-24872-KMW (S.D. Fla. filed November 22, 2016) SEC Charges Naples, Florida Resident with Misappropriating Investor Funds Recently, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the…

Arcturus Corporation, et. al. – Boca Raton, Florida Fraudulent Oil and Gas Investment Litigation and Arbitration Attorney Securities and Exchange Commission v. Arcturus Corporation, et al., Civil Action No. 3:13-cv-04861-K (N.D. Tex.) Promoters of Fraudulent Oil and Gas Investments Found Liable On All Claims The Securities and Exchange Commission recently announced that a federal court…

Rex Venture Group, LLC d/b/a ZeekRewards.com – Boca Raton, Fort Lauderdale, Delray Beach, West Palm Beach and Lake Worth, Florida Unregistered Offer and Sale of Securities Litigation Attorney Securities and Exchange Commission v. Trudy R. Gilmond, U.S. District Court for Western District of North Carolina (Civil Action No. 3:15-CV-00591) SEC Charges ZeekRewards Pyramid-Ponzi Scheme Promoter…

Jehu Hand and Antonio Katz – South Florida, including Boca Raton, Deerfield Beach, Pompano and Fort Lauderdale, Unlawful Sale of Restricted Securities Litigation Attorney Securities and Exchange Commission v. Jehu Hand and Antonio Katz, Civil Action No. 1:15-cv-14109 (D. Mass. Dec. 10, 2015) SEC Charges California Lawyer and Stock Promoter Behind Market Manipulation Scheme The…

iShopNoMarkup.com, Inc. – South Florida Fraudulent Unregistered Offering of Securities – FINRA Arbitration and Litigation Attorney Securities and Exchange Commission v. iShopNoMarkup.com, Inc., Civil Action No. 04-CV-4057 (E.D.N.Y.) Court Imposes Over $5 Million in Monetary Relief, an Officer and Director Bar, and Permanent Injunctions Against Former Chairman of a Failed Internet Startup Who Committed Securities…

Manny Shulman and David K. Hirschman – Boca Raton, Florida Unregistered Securities Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. Manny J. Shulman and David K. Hirschman, Civil Action No. 0:15-cv-61861-WJZ (U.S. District Court for the Southern District of Florida, Sept. 3, 2015) On September 3, 2015, the Securities and Exchange…

South Florida Unregistered and Private Offering Fraud and Misrepresentation Litigation Attorney: Securities and Exchange Commission v. EnviraTrends, Inc., et al., Civil Action No. 8:15CV1903T27TGW (M.D. Fla., August 17, 2015) SEC Charges Development Stage Company and Founder in Unregistered Offering Fraud Scheme Recently, the Securities and Exchange Commission filed a settled civil injunctive action against Russell…

Advertising Unregistered Securities Offerings – Boca Raton and West Palm Beach, Florida Fraud and Misrepresentation in the Advertising of Unregistered Securities Offerings Attorney: Newly announced rules regarding advertising of unregistered securities offerings. General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business…

Securities and Exchange Commission v. Caledonian Bank Ltd., et al., Civil Action No. 15-CV-00894 The Securities and Exchange Commission has charged five offshore entities with offering and selling unregistered penny stocks into the public markets. According to the SEC’s complaint filed on February 6, 2015, Cayman Islands-based, Caledonian Bank Ltd. and Caledonian Securities Ltd., Belize-based,…

South Florida Investment Fraud and Misrepresentation Litigation and Arbitration Attorney: SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales The Securities and Exchange Commission recently charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheimer agreed to admit wrongdoing…