South Florida Arbitration & Litigation Lawyer Blog

SEC V. MICHAEL A. BODANZA ET AL., Case No. 1:12-CV-1954 (N.D. Ohio, filed July 27, 2012) July, 2012: SEC Charges Ohio Oil and Gas Concern with Offering Fraud The Securities and Exchange Commission recently announced that it filed a civil injunctive action alleging fraud in connection with the unregistered offer and sale of securities by…

SEC Charges N.Y.-Based Fund Manager and Others With Securities Law Violations Related to Chinese Reverse Merger Company July, 2012: The Securities and Exchange Commission recently charged New York-based investment manager Peter Siris and two of his firms with a host of securities law violations mostly related to his activities with a Chinese reverse merger company,…

Securities and Exchange Commission v. Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc., Civil Action No. 12-cv-04272-TON (E.D. Pa.) July, 2012: The Securities and Exchange Commission recently filed an action for fraud against Bucks-County, Pennsylvania-resident Emanuel L. Sarris, Sr. (“Sarris”) and his firm, Sarris Financial Group, Inc. (“Sarris Financial”), for their role in facilitating…

Types of mutual funds. Generally, there are a few basic types of mutual funds that are available for the members of the general public to invest in. The purpose of this post is to provide general information relative thereto. This post is being provided for educational purposes only. It is not designed to be complete…

Mutual funds are a common vehicle in today’s investment world. Here are a few reason why People buy them. However, please keep in mind that this information is being provided for educational purposes only. Therefore, it is not designed to be complete in all material respects. Thus, it should not be relied upon as providing…

Securities and Exchange Commission v. Ladislav “Larry” Schvacho, Civil Action No. 1:12-cv-2557-WFD (N.D. Ga.) SEC CHARGES CLOSE FRIEND OF STAFFING COMPANY CEO WITH INSIDER TRADING AROUND ACQUISITION Recently, the Securities and Exchange Commission charged the close friend of a CEO with insider trading in the stock of a Houston-based employment services company by exploiting confidential…

Securities and Exchange Commission v. Ronald Feldstein, Civil Action No. 12 Civ. 5751 (S.D.N.Y.) July, 2012: SEC CHARGES AIDER AND ABETTOR OF PENNY STOCK COMPANY’S DISCLOSURE OF FAKE INVESTMENT The Securities and Exchange Commission recently filed a complaint in the United States District Court for the Southern District of New York alleging that Ronald Feldstein…