About Gilbert J. Bradshaw

Transactional attorney concentrating in securities and tax law

Effective Communication with the SEC Staff during Wells Meetings Steven Piekin, Co-Director of the Division of Enforcement gave a speech in New York City on May 9, 2018 about techniques for a productive and effective communication with the SEC staff during Wells meetings. What is the Wells process? Wikipedia summarizes the Wells Notice as “a…

SEC Charges Hedge Fund Advisor for Inflating Fund Performance SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance Summary The SEC, in cooperation with the the U.S Attorney’s Office and the FBI investigated the allegedly secret deals and brought charges against a hedge fund advisor for inflating fund performance. A summary of…

Raising Capital from Investors without Violating SEC Rules Many companies raising capital from investors unintentionally violate SEC rules and get civil and criminal penalties from the Securities and Exchange Commission (“SEC”) and Department of Justice. The bottom line is that looking out for your investors’ interests is a key to protecting you from SEC and…

SEC Calls Online Advertisements known as “Ad Packs” an Illegal Ponzi Scheme If you are soliciting investors to purchase online advertisements known as “Ad Packs” the SEC might deem them securities and prosecute you for legal violations. The Securities and Exchange Commission recently warned investors to beware of online “paid-to-click” scams that promise an easy…

Rick A. Fleming, Investor Advocate U.S. Securities and Exchange Commission[1] Keynote Address, University of Maryland, Robert H. Smith School of Business Center for Financial Policy Nov. 16, 2016 Thank you, David [Lynn], for that kind introduction.  I also want to thank Jim Allen and the sponsoring organizations for extending the invitation to speak, and to all of…

Chair Mary Jo White New York University School of Law Program on Corporate Compliance and Enforcement New York University School of Law Pollack Center for Law and Business Nov. 18, 2016 Introduction Good morning and thank you, Dean [Trevor] Morrison for that very kind introduction. It is a pleasure to be here today and I…

Chair Mary Jo White The Economic Club of New York Jan. 17, 2017 Thank you, Terry [Lundgren], for that generous introduction. As always, it is great to be back speaking at The Economic Club of New York. I especially appreciate the invitation to speak to you today, three days away from completing my term as…

Rick A. Fleming, Investor Advocate NASAA 2017 Public Policy Conference Washington, D.C. May 9, 2017 Thank you, Claire [McHenry], for the kind introduction, and for the invitation to speak at the NASAA spring conference. I’ve been away from the NASAA family long enough that I now see new faces in the crowd, but it’s easy…

FOR IMMEDIATE RELEASE 2017-112 Washington D.C., June 5, 2017— The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its alleged practice of clearing transactions for microcap stocks that were used in manipulative schemes to harm investors. To help detect potential securities law and money laundering…

FOR IMMEDIATE RELEASE 2017-102 Washington D.C., May 15, 2017— The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the CMBS desk and line their own pockets…