Tag: unregistered dealer

   Aryeh Goldstein thought he had found the holy grail. After forming Adar Bays, LLC in 2014 and later Adar Alef, LLC in 2018, business was lending money to penny stock companies. Those issuers were small with a stock price …

Lender to Penny Stock Issuers Charged as Unregistered Dealer

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Is this the period of emerging themes? Consider the following: Insider trading: The Commission claims that trading while in possession of inside information about one company in the shares of another may constitute insider trading. See SEC v. Panuwat below …

This Week In Securities Litigation (Week of August 23, 2021) Read More »

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