John Bennett

SEC Charges SPAC Accounting Consultant with Insider Trading The U.S. Securities and Exchange Commission (SEC) has recently brought charges against Robert Del Prete, a former accounting consultant for HighCape Capital Acquisition Corp. (“HighCape”), a special …

SEC Charges Former SPAC Accounting Consultant Robert Del Prete with Insider Trading Read More »

The Securities and Exchange Commission (SEC), the watchdog of Wall Street, has once again shown its teeth. This time, its bite is directed at one William E. Miller, an adviser who allegedly made misstatements to …

SEC Charges Investment Adviser for Misrepresentation and Fraudulent Activities, Seeks Disgorgement and Civil Penalties Read More »

The SEC takes aim at Esos Rings, Inc. In a recent release, the U.S. Securities and Exchange Commission released a statement. announced The company has been charged with fraud. Esos Rings, Inc.Its principal, Michelle Silverstein …

SEC Settles Fraud Charges Against Esos Rings, Inc. and Principal, Michelle Silverstein, for Defrauding Investors and Operating a Ponzi-Like Scheme Read More »

SEC Slaps Fraud Charges on Minnesota Company and Its Founder In an alarming turn of events, the U.S. Securities and Exchange Commission (SEC) has charged Robyn A. Bowman and her firm, Phoenix Asset Group, LLC, …

SEC Files Complaint Against Phoenix Asset Group and Founder for Alleged Fraudulent Securities Offering Read More »

In a ground-breaking case that has sent shockwaves through the cryptocurrency industry, the U.S Securities and Exchange Commission (SEC) has finally brought the hammer down on crypto asset trading platform, Bittrex Inc., its former CEO, William Shihara, …

SEC Wins $24 Million Judgment Against Bittrex Inc. and Bittrex Global GmbH for Operating as Unregistered Securities Exchanges Read More »

Ah, the world of investing—where fortunes are made, dreams are shattered, and the line between right and wrong can sometimes get a little blurry. But fear not, the U.S. Securities and Exchange Commission (SEC) is …

SEC Files Charges Against North Carolina Man for Fraudulent “Free-Riding” Securities Scheme Read More »

This press release details the final judgment in the case of the Securities and Exchange Commission v. Daniel V.T. Catenacci, a medical doctor based in Chicago, Illinois, who was accused of insider trading. Catenacci was …

Illinois Doctor Fined for Insider Trading in Biotech Company Following Positive Drug Trial Results: SEC Final Judgement Read More »

The Securities and Exchange Commission (SEC) has filed an emergency action against PreIPO Corp., John A. Mattera, and David P. Grzan, accusing them of conducting an offering fraud. The SEC alleges that the Florida-based company, …

SEC Files Emergency Action Against PreIPO Corp and Recidivist John A. Mattera for Alleged Offering Fraud Read More »

The Securities and Exchange Commission (SEC) has recently charged British investor Joseph C. Lewis for illegally tipping off his then-girlfriend, Carolyn W. Carter, and his two private pilots, Patrick J. O’Connor, and Bryan L. Waugh, …

SEC Charges Investor Joseph C. Lewis and Accomplices with Insider Trading, Profiting Over $545,000 Read More »

The Securities and Exchange Commission (SEC) has launched an action against Brandon Charnas, a real estate broker operating in New York and South Florida. The SEC is investigating Charnas for potential insider trading violations concerning …

SEC Files Action Against Real Estate Broker Brandon Charnas for Possible Insider Trading Violations Read More »