2014 – SEC ACTIONS

Former Adjunct Business School Professor, His Firm, the Placement Broker and Its Managing Partner Named in SEC Offering Fraud Actions

Posted on November 02, 2014 by T. Gorman Posted in SECActions

The Commission instituted administrative proceedings centered on an offering fraud orchestrated by a former adjunct Professor at Columbia Business School who taught, and previously specialized in, turning around troubled companies, along with his firm. Related actions were instituted naming the …

Former Adjunct Business School Professor, His Firm, the Placement Broker and Its Managing Partner Named in SEC Offering Fraud Actions Read More »

Tagged with: offering fraud, secactions

This Week In Securities Litigation (Week ending October 31, 2014)

Posted on October 30, 2014 by T. Gorman Posted in SECActions

The Commission brought a series of administrative proceedings this week and one civil injunctive action. The civil injunctive action was an insider trading case. The administrative proceedings centered on FCPA violations, the custody rule, churning, Rule 105, internal controls, a …

This Week In Securities Litigation (Week ending October 31, 2014) Read More »

Tagged with: Insider trading, investment fund fraud, Rule 105, secactions

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Year: 2014

Former Adjunct Business School Professor, His Firm, the Placement Broker and Its Managing Partner Named in SEC Offering Fraud Actions

This Week In Securities Litigation (Week ending October 31, 2014)