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SEC and DOJ Charge San Diego Penny Stock Promoter with Fraud

In the latest twist to the Bermuda Short Sting of 2003, on June 19, 2013, the Securities and Exchange Commission (“SEC”) Division of Enforcement charged David F. Bahr of Rancho Santa Fe, California,...

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Five Charged by SEC in Venezuelan Fraudulent Bond Kickback Scheme

In June 12, 2013, the Securities and Exchange Commission (“SEC”) brought an action against an additional defendant for his role in a fraudueltn kickback scehme involving the payment of millions of...

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Penny Stock CEO and Co-Conspirator Convicted of Securities Fraud

On May 3, 2013, in connection with an action that went unnoticed by most penny stock observers, the U.S. Attorney’s Office for the District of Massachusetts announced that John C. Jordan, of Cameron...

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Ask Securities Lawyer 101 l Financial Intermediaries

It is not unusual for a private or public company to be approached by financial intermediary  (“Intermediary”) that offers to locate investors in exchange for a fee. Most Intermediaries are not...

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Additional Charges and Convictions in Kickback Schemes

On August 13, 2013, John C. Jordan, former chief executive of Vida Life International Ltd., a public company that trades on the OTCMarkets OTCQB as VILF, was sentenced to 30 months in federal prison...

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FBI Obtains Conviction in Kickback Scheme

Securities Lawyer 101 Blog On November 4, 2014, Albert Reda, the former Treasurer and Chairman of the Board of Directors of  First Global Financial Corporation was convicted for his participation in a...

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Doug Furth Indicted in Kickback Scheme

Going Public LawyerOn December 12, 2014, the  Securities and Exchange Commission (“SEC”) filed a civil injunctive action in the United States District Court for the Eastern District of New York,...

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Do I Have to Disclose Payments To a Finder?

Going Public LawyerCompanies seeking capital are frequently approached by intermediaries who offer to locate investors in exchange for a fee.  Most intermediaries also known as “finders” are not...

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FINRA Expels Halcyon Cabot Partners

Going Public LawyerThe Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief...

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