Securities

Recent Posts

SEC Settles Unregistered Broker Charges Tied to Offering Fraud
Posted on 31 Jul 2015 by Thomas O. Gorman

The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged in the business of buying... Read More

Another Offering Fraud Case
Posted on 8 Feb 2012 by Thomas O. Gorman

Cases involving the sale of unregistered securities and Ponzi schemes were among the leading categories of cases brought last year according to recent statistics from NERA Economic Consulting ( here ). The Commission's action against Kenneth Dachman... Read More

  • Blog Post: Another Offering Fraud Case

    Cases involving the sale of unregistered securities and Ponzi schemes were among the leading categories of cases brought last year according to recent statistics from NERA Economic Consulting ( here ). The Commission's action against Kenneth Dachman combined elements of both. SEC v. Dachman, Case...
  • Blog Post: SEC Settles Unregistered Broker Charges Tied to Offering Fraud

    The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged in the business of buying and selling fractional interests in oil and gas...