Year: 2010

Dodd-Frank has been described as the most comprehensive overhaul of the financial regulatory system since the great depression. Since it was crafted to address the most significant market crisis since the one which spawned the Federal Securities Laws, many may …

THE VIEW FROM THE BOARD IN THE WAKE OF DODD-FRANK Read More »

The Commission brought an action against the two principals of Brewer Investment Group, LLC (“BIG”), a financial services holding company, and its related entities centered on an alleged fraudulent offering. Specifically, the complaint claims that a fraudulent sale of unregistered …

SEC ACTION TO HALT FRAUDULENT OFFERING Read More »