Articles Posted in Due Diligence

Harold Connell – Private Placement Memorandums – Undisclosed Self-Offerings – Unregistered Regulation D Offerings – Fraud, Deceit and Misrepresentation – Boca Raton, Florida Finra Arbitration Attorney Harold Lee Connell (CRD #1482623, Pinecrest, Florida) Recently, the Financial Industry Regulatory Authority announced that Harold Lee Connell entered into an Acceptance, Waiver and Consent which barred Connell from…

Underwriter Due Diligence – Fact or Fiction – Boca Raton, Florida Fraudulent Underwriting Attorney Securities and Exchange Commission v. Macquarie Capital (USA) Inc. et al., Civil Action No. 15-CV-02304 SEC Charges New York-Based Brokerage Firm with Faulty Underwriting of Public Offering by China-Based Company The Securities and Exchange Commission recently announced charges against a New…