About Gilbert J. Bradshaw

Transactional attorney concentrating in securities and tax law

FOR IMMEDIATE RELEASE 2017-77 Washington D.C., April 5, 2017— The Securities and Exchange Commission today announced that an Arizona-based brokerage firm, its CEO, and its former underwriter’s counsel have agreed to settle charges related to municipal bond offerings they were underwriting that turned out to be fraudulent. The SEC’s order finds that Lawson Financial Corporation…

FOR IMMEDIATE RELEASE 2017-75 Washington D.C., March 30, 2017— The Securities and Exchange Commission today announced its Equity Market Structure Advisory Committee will meet on April 5 beginning at 9:30 a.m. ET.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on equity market…

FOR IMMEDIATE RELEASE 2017-74 Washington D.C., March 30, 2017— The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees, and laid-off auto workers who were misled to believe they were investing in a successful real estate business. The SEC alleges…

FOR IMMEDIATE RELEASE 2017-73 Washington D.C., March 30, 2017— The Securities and Exchange Commission today announced the appointment of Sagar S. Teotia as a Deputy Chief Accountant in the agency’s Office of the Chief Accountant. As Deputy Chief Accountant, Mr. Teotia will lead the activities of the office’s accounting group, which includes understanding investor and…

FOR IMMEDIATE RELEASE 2017-72 Washington D.C., March 27, 2017— The Securities and Exchange Commission today announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser and his financial management company accused of scamming elderly investors out of millions of dollars. The SEC alleges that Daniel H. Glick and his unregistered investment…

FOR IMMEDIATE RELEASE 2017-71 Washington D.C., March 27, 2017— The Securities and Exchange Commission today announced charges against a Florida-based company, its CEO, and its top sales agent accused of conducting a boiler room scheme that solicits investments in a business purportedly facilitating online and cell phone sales of lottery tickets in various states. The…

FOR IMMEDIATE RELEASE 2017-70 Washington D.C., March 24, 2017— The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that they traded on nonpublic information prior to the merger of two mining companies. The SEC filed its complaint in September 2016, and the settlements were approved…

FOR IMMEDIATE RELEASE 2017-70 Washington D.C., March 24, 2017— The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that they traded on nonpublic information prior to the merger of two mining companies. The SEC filed its complaint in September 2016, and the settlements were approved…

FOR IMMEDIATE RELEASE 2017-69 Washington D.C., March 23, 2017— The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program seminars for investment companies and investment advisers.  The seminars will be offered in four cities and are intended to help Chief Compliance Officers (CCOs) and other senior personnel enhance compliance…

FOR IMMEDIATE RELEASE 2017-68 Washington D.C., March 22, 2017— The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions.  Currently, the standard settlement cycle for these transactions is three business days, known as T+3.  The amended rule shortens the settlement cycle…

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