South Florida Arbitration & Litigation Lawyer Blog

SEC v. The Companies (TC), LLC, et al., Civil No.: 2:12-cv-00765-DN (USDC Utah, Filed July 6, 2012). August, 2012: SEC CHARGES REAL ESTATE INVESTMENT COMPANY AND ITS PRINCIPALS WITH OFFERING FRAUD Recently, the Securities and Exchange Commission filed a Complaint in federal district court against The Companies (TC), LLC (“The Companies”) and its principals, Kristoffer…

SEC v. Well Advantage Limited, et al., Civil Action 12-CV-5786 (SDNY)(RJS) August, 2012: SEC FREEZES AN ADDITIONAL $6 MILLION IN NEXEN INSIDER TRADING CASE Recently, the Securities and Exchange Commission obtained an emergency court order in the United States District Court for the Southern District of New York to freeze more than $6 million in…

Securities and Exchange Commission v. Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough, 1:11-CV-10633 (D. Mass., Complaint Filed April 14, 2011) August, 2012: FINAL JUDGEMENTS ENTERED AGAINST FORMER EXECUTIVES OF MASSACHUSETTS COMPANY The Securities and Exchange Commission recently announced that final judgments were entered…

SEC v. Phillip W. Offill, Jr., et al., Civil Action No. 07-CV-1643-D (N.D. Tex. filed Sept. 26, 2007) August, 2012: SHANE A. MULLHOLAND AND DISSEMINATION SERVICES LLC ENJOINED AND BARRED FROM PENNY STOCK OFFERINGS The United States Securities and Exchange Commission (Commission) recently announced that on July 30, 2012, the Honorable Sidney A. Fitzwater of…

SEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition Targets August, 2012: The Securities and Exchange Commission recently charged an executive at Bristol-Myers Squibb with insider trading on confidential information about companies being targeted for potential acquisitions. His illegal trading took place as recently as just weeks ago. The SEC…

What are the risks of investing in municipal bonds? As with any investment, investors who buy municipal bonds face a number of risks. The purpose of this post is to provide a general discussion of some of these risks. The post is being provided for educational purposes only and is not designed to be complete…

What are municipal bonds? If you are a novice investor, you may have various questions concerning what are municipal bonds. The pupose of this post is to provide general information relative to answering this question. It is being provided for educational purposes only. Thus, is it not designed to be complete in all material respects.…

Understanding fees and costs associated with mutual funds: What are the fees and costs associated with purchasing, owning and selling mutual funds. The purpose of this post is to provide the reader with general comments on this subject. Please be advised that this information is being provided for educational purposes only and is not designed…

How to buy and sell mutual funds This post is designed to provide the reader with information relative to the methods that an investor might pick to buy and sell mutual fund shares. This information is being provided for educational purposes only. It is not designed to be complete in all material respects. Thus, it…

What are some of the benefits and risks of mutual funds? The purpose of this post is to provide the reader with a general description of certain risks and rewards associated with investing in mutual funds. Please keep in mind that this information is being provided for educational purposes only and is not designed to…