SEC - U.S. Securities and Exchange Commission

Giga Entertainment Media, Inc. et al.

November 16, 2018 Admin 0

The Securities and Exchange Commission yesterday charged Giga Entertainment Media Inc. and five of its former officers and directors-Gary Nerlinger, Jarret Streiner, Lawrence Silver, Alfred Colucci, […]

SEC - U.S. Securities and Exchange Commission

Quadrant 4 System Corp., et al.

November 15, 2018 Admin 0

The Securities and Exchange Commission today announced the resolution of three actions against the CFO of a Chicago-area information technology company, who was previously charged […]

SEC - U.S. Securities and Exchange Commission

James V. Mazzo, et al.

November 14, 2018 Admin 0

Litigation Release No. 24350 / November 14, 2018 Securities and Exchange Commission v. James V. Mazzo, et al., Civil Action No. 12-01327-DOC (AFM) (C.D. Cal. […]

SEC - U.S. Securities and Exchange Commission

Arthur Lamar Adams et al.

November 9, 2018 Admin 0

Litigation Release No. 24347 / November 9, 2018 Securities and Exchange Commission v. Arthur Lamar Adams et al., No. 18-cv-252 (S.D. Miss. filed Apr. 20, […]

SEC - U.S. Securities and Exchange Commission

Kevin B. Merrill, et al.

November 9, 2018 Admin 0

Litigation Release No. 24346 / November 9, 2018 Securities and Exchange Commission v. Kevin B. Merrill, et al., No. 18-civ-2844 (D. Md. filed Sept. 13, […]

SEC - U.S. Securities and Exchange Commission

Eric J. “EJ” Dalius et al.

November 8, 2018 Admin 0

The Securities and Exchange Commission has charged an individual and seven corporate entities that he controlled with defrauding investors through the promotion and operation of […]

SEC - U.S. Securities and Exchange Commission

Ricardo H. Goldman

November 8, 2018 Admin 0

On November 7, 2018, the Securities and Exchange Commission charged Florida resident Ricardo H. Goldman for fraudulently operating an unregistered securities day trading firm. According […]

SEC - U.S. Securities and Exchange Commission

SeeThruEquity, LLC et al.

November 8, 2018 Admin 0

The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports purportedly based on “unbiased” and […]

SEC - U.S. Securities and Exchange Commission

James E. Hengen

November 8, 2018 Admin 0

The Securities and Exchange Commission today charged James E. Hengen with insider trading based on material, nonpublic information that he misappropriated from his wife, a […]

SEC - U.S. Securities and Exchange Commission

Eric P. Lesak, et al.

November 8, 2018 Admin 0

Litigation Release No. 24339 / November 8, 2018 Securities and Exchange Commission v. Eric P. Lesak, et al., No. 18-civ-01951(D.D.C. filed Aug. 21, 2018) A […]

SEC - U.S. Securities and Exchange Commission

Slobodan Dragojlovic

November 8, 2018 Admin 0

U.S. Securities and Exchange Commission v. Slobodan Dragojlovic, No. 2:18-cv-09456 (C.D. Cal. filed Nov. 7, 2018) Litigation Release No. 24338 / November 8, 2018 The […]