SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings

January 21, 2016

The Securities and Exchange Commission (“SEC”) announced enforcement actions against six firms, including more than $2.5 million in monetary sanctions and, in the case of one previously sanctioned firm, an order barring the firm from participating in stock offerings for a period of one year as part of its ongoing enforcement initiative focused on violations … Continue reading “SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings”

SEC Charges Colorado Investment Firm and Its Manager with Fraud

January 21, 2016

The Securities and Exchange Commission today filed fraud and other charges in the United States District Court for the District of Colorado against Donald J. Lester and his self-described private equity firm Rubicon Alliance, LLC (“Rubicon”). According to the SEC’s complaint, from approximately January 2010 through December 2014, Lester and Rubicon raised over $10 million … Continue reading “SEC Charges Colorado Investment Firm and Its Manager with Fraud”

Meyers & Heim LLP Relocates and Expands

January 21, 2016

We are pleased to announce the relocation and expansion of our law firm to 1350 Broadway, Suite 514, New York, NY 10018. At Meyers & Heim LLP we believe that successfully addressing client needs requires more than just knowledge of the law and a mastery of the multitude of rules and regulations that impact our … Continue reading “Meyers & Heim LLP Relocates and Expands”

Final Judgment Entered Against California-Based Unregistered Broker Alleged to Have Fraudulently Offered and Sold Pre-IPO Facebook and Twitter Shares; Defendants Ordered to Pay Over $3 Million in Monetary Relief

January 21, 2016

The Securities and Exchange Commission announced that on September 29, 2015, a final judgment was entered against Efstratios “Elias” Argyropoulos of Santa Barbara, California, and his solely owned company, Prima Capital Group, Inc., by a United States District Judge in Los Angeles. In addition to the permanent injunction to which the defendants had previously consented, … Continue reading “Final Judgment Entered Against California-Based Unregistered Broker Alleged to Have Fraudulently Offered and Sold Pre-IPO Facebook and Twitter Shares; Defendants Ordered to Pay Over $3 Million in Monetary Relief”

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