Category Archives: Uncategorized


The Securities and Exchange Commission (SEC) recently obtained a criminal conviction against a former Pharmaceutical [...]

Fiduciary Duties: Potential Reform?

A fiduciary is a person or entity that is required to act in the best [...]

What is the SEC?

What is the SEC?  The SEC (Securities and Exchange Commission) is a large independent agency [...]

Parallax Charged for Misleading Information in an Attempt to Boost Stock Price

The SEC charged Parallax for releasing misleading information about its Covid-19 diagnostic product to boost [...]

SEC Charge Against GadGuido

SEC Charge Against GadGuido. On June 30, 2021, the Securities and Exchange Commission (the “SEC”) [...]

Violating the Anti-touting Provision – The SEC charged UK Blotics

Violating the Anti-touting Provision.  On July 14th, the Securities and Exchange Commission (“SEC”) charged[1] Blotics [...]

Touted Real Estate Investor Charged with Unregistered Offering

The SEC Charged a Touted Real Estate Investor with Orchestrating Unregistered Offering with a Fraudulent [...]