Blog Posts Tagged With Miscellaneous

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Follow-on APs, Suspensions, and Bars

  • In re Michael T. Rand, CPA (A.P. June 4, 2019, Contested)
  • In re Kimberly Pine Kitts (A.P. June 6, 2019, Settled)
  • In re Jose G. Ramirez, Jr. (A.P. June 6, 2019, Contested)
  • In re David S. Goulding (A.P. June 10, 2019, Settled)
  • In re Andy Altahawi (A.P. June 10, 2019, Settled)
  • In re Anthony G. Blumberg (A.P. June 12, 2019, Settled)
  • In re Jovannie Aquino (A.P. June 13, 2019, Settled)
  • In re Hugh Dunkerley (A.P.

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Follow-on APs, Suspensions, and Bars (May 2019)

  • In re Paul Peter Gierten (A.P. May 3, 2019, Settled)
  • In re Rocco Roveccio (A.P. May 6, 2019, Settled)
  • In re Jeffrey Francis Thompson (A.P. May 9, 2019, Settled)
  • In re Bryan B. Long, CPA (A.P. May 13, 2019, Settled)
  • In re Jonathan A. Rivera-Padilla (A.P. May 14, 2019, Settled)
  • In re Oscar Ferrer Rivera (A.P. May 14, 2019, Contested)
  • In re Robert M. Schulman, Esq. (A.P. May 16, 2019, Settled)
  • In re Paul B.

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SEC Enforcement Staff Offer Guidance in Panel Discussion (Apr. 11, 2019)

SEC enforcement officials participated in a panel discussion at the PLI SEC Speaks conference in Washington, D.C.  The panel was led by SEC Enforcement Co-Directors Stephanie Avakian and Steve Peiken.  Panelists discussed several topics including cooperation, multijurisdictional and interagency investigations, Wells notices, and negotiations with SEC staff.  Panelists also discussed the implications of the Supreme Court’s decision in Lorenzo v. SEC , which held that an investment banker violated Rules 10b-5(a) and (c), Section 10(b)
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Follow-on APs, Suspensions, and Bars

In re Jennifer F. Wolf, CPA (A.P. Apr. 1, 2019, Settled)

In re Evan R. Kita, CPA (A.P. Apr. 3, 2019, Contested)

In re Joseph Mario Genzone (A.P. Apr. 4, 2019, Settled)

In re Alonzo R. Cahoon (A.P. Apr. 5, 2019, Settled)

In re James K. McKillop (A.P. Apr. 9, 2019, Settled)

In re Adam C. Derbyshire (A.P. Apr. 9, 2019, Settled)

In re Martin R. Stancik (A.P. Apr. 10, 2019, Settled)

In re James
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Senators Propose Doubling SEC Deadline for Recovering Investor Money from Fraudsters (Mar. 14, 2019)

Two members of the Senate Banking Committee introduced the Securities Fraud Enforcement and Investor Compensation Act in the Senate. The bill seeks to amend the Exchange Act to give the SEC ten years to seek restitution for investors from fraudulent actors while maintaining the five-year limitation on SEC disgorgement actions set forth in the Supreme Court’s 2017 decision in Kokesh v. SEC.

Law360 Coverage
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Congressman Proposes Requiring Public Companies to Disclose Board Members’ Cybersecurity Expertise (Mar. 13, 2019)

A member of the House Intelligence Committee has reintroduced the Cybersecurity Disclosure Act of 2019 that would require the SEC to issue a set of rules making publicly traded companies disclose whether any of their board members have cybersecurity expertise, and if not, to justify the skills gap. A companion bill is pending in the Senate.
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Delinquent Filings

In re Cardinal Energy Group, Inc. (A.P. Mar. 18, 2019, Contested)

In re First Liberty Power Corp., et al. (A.P. Mar. 21, 2019, Settled)

In re Golden Global Corp. and Power Efficiency Corporation (A.P. Mar. 27, 2019, Settled)

In re Coupon Express, Inc., et al. (A.P. Mar. 28, 2019, Settled)

In re Hua Yang Investment Group, et al. (A.P. Mar. 28, 2019, Settled)

In re Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green
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Follow-on APs, Suspensions, and Bars

In re Raymond K. Montoya (A.P. Mar. 5, 2019, Settled)

In re Lewis Dean McBride (A.P. Mar. 7, 2019, Settled)

In re Jared Jeffrey Davis (A.P. Mar. 15, 2019, Settled)

In re Craig Arsenault (A.P. Mar. 15, 2019, Settled)

In re Robert P. DePalo (A.P. Mar. 18, 2019, Settled)

In re Joshua B. Gladtke (A.P. Mar. 18, 2019, Settled)

In re Gregg A. Lerman (A.P. Mar. 18, 2019, Settled)

In re Richard G. Cody (A.P.
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CFTC and UK Authorities Issue Joint Statement on Continuity of Derivatives Trading and Clearing Post-Brexit (Feb. 25, 2019)

The CFTC and the Bank of England, including the Prudential Regulation Authority and the Financial Conduct Authority, issued a joint statement assuring the market that derivative trading and clearing activities will continue between the U.K. and U.S. after the U.K.’s withdrawal from the EU. The statement sets out a list of measures to ensure regulatory and financial stability, including continued supervisory cooperation, extension of existing CFTC relief and comparability for the U.K., and U.K. equivalence
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Follow-on APs, Suspensions, and Bars (February 2019)

In re Vanessa Puleo (A.P. Feb. 1, 2019, Settled)

In re Yolanda C. Velazquez (A.P. Feb. 1, 2019, Settled)

In re Kenneth Grace (A.P. Feb. 1, 2019, Settled)

In re Andrew B. Scherr (A.P. Feb. 4, 2019, Settled)

In re Frank Dinucci, Jr. (A.P. Feb. 5, 2019, Settled)

In re Ronald W. Nichter (A.P. Feb. 7, 2019, Settled)

In re Christopher Eikenberry (A.P. Feb. 8, 2019, Settled)

In re Timothy S. Batchelor (A.P. Feb. 11,
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Follow-on APs, Suspensions, and Bars (January 2019)

In re Perry Douglas West, Esq. (A.P. Jan. 29, 2019, Settled)

In re Robert H. Shapiro (A.P. Jan. 30, 2019, Settled)

In re John L. Gathright, Jr. (A.P. Jan. 31, 2019, Settled)

In re John Austin Gibson, Jr. (A.P. Jan. 31, 2019, Settled)

In re Evan Louis Greebel, Esq. (A.P. Jan. 31, 2019, Contested)

In re Jordan E. Goodman (A.P. Jan. 31, 2019, Settled)

In re Albert D. Klager (A.P. Jan. 31, 2019, Settled)

In
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SEC and CFTC Enforcement Slow During Government Shutdown (Jan. 26, 2019)

The federal government was shut down from December 22, 2018, through January 25, 2019.  SEC and CFTC enforcement activity fell off sharply during that period.  In January of 2019, the SEC announced four enforcement actions, compared to 10 in January of last year.  On the administrative side, the SEC announced two enforcement actions this month, compared to 23 in January of last year.  The CFTC issued one enforcement-related press release in January, compared to 13
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Cato Institute v. SEC, et al. (D.D.C. Jan. 9, 2019)

The Cato Institute has sued the SEC under the Free Speech Clause of the First Amendment. The suit is a facial challenge to 17 C.F.R. § 202.5(e), under which a defendant or respondent in an SEC enforcement action must agree not to deny the SEC’s allegations as a condition of settlement.  According to Cato, the regulation is an unconstitutional content-based restriction on free speech.  The Institute’s complaint states that it is seeking to publish a
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Emulex Corp., et al. v. Gary Varjabedian, et al. (U.S. Supreme Court, Jan. 4, 2019)

The Supreme Court has granted a petition for writ of certiorari asking whether the proper liability standard in cases brought under Section 14(e) of the Exchange Act, which prohibits material misstatements or omissions in connection with a tender offer, is negligence instead of intent or scienter.  The Plaintiffs in this putative class action allege that Defendants failed to disclose unfavorable information about a proposed merger.  The district court granted Defendants’ motion to dismiss, finding that
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Delinquent Filings (December 2018)

In re Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) (A.P.  Dec. 10, 2018, Contested)

In re Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), et al. (A.P.  Dec. 11, 2018, Settled)

In re Golden Pig Ventures, Inc., et al. (A.P. Dec. 20, 2018, Partially Settled, Partially Contested)

In re New Global Energy, Inc. (A.P. Dec. 26, 2018, Settled)
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Follow-on APs, Suspensions, and Bars (December 2018)

In re John C. Maccoll (A.P. Dec. 3, 2018, Settled)

In re Richard W. Kessler (A.P. Dec. 12, 2018, Settled)

In re Stanley P. Bates (A.P. Dec. 13, 2018, Settled)

In re Carlos I. Uresti (A.P. Dec. 13, 2018, Settled)

In re Walter J. Grenda, Jr. (A.P. Dec. 20, 2018, Settled)

In re John T. Place (A.P. Dec. 20, 2018, Settled)

In re James S. Polese (A.P. Dec. 20, 2018, Settled)

In re Patric Ken
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Delinquent Filings (November 2018)

  • In re Avant Diagnostics, Inc., et al. (A.P. Nov. 7 & 26, 2018, Settled)
  • In re Mullan Agritech, Inc., et al. (A.P. Nov. 13, 2018, Partially Settled, Partially Contested)
  • In re America Greener Technologies, Inc., et al. (A.P. Nov. 14, 2018, Settled)
  • In re Nutrastar International, Inc. (A.P. Nov. 14, 2018, Settled)
  • In re Solaris Power Cells, Inc., et al. (A.P. Nov. 14, 2018, Settled)
  • In re AMI James Brands, Inc., et al. (A.P. Nov.

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Follow-on APs, Suspensions, and Bars (November 2018)

  • In re Mark E. Fisher, Esq. (A.P. Nov. 2, 2018, Settled)
  • In re Douglas P. Simanski (A.P. Nov. 8, 2018, Settled)
  • In re Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies (A.P. Nov. 9, 2018, Contested)
  • In re Steve Qi (A.P. Nov. 9, 2018, Settled)
  • In re Salvadore D. Palermo (A.P. Nov. 9, 2018, Contested)
  • In re Robert Williams Myers, Jr. (A.P. Nov. 19, 2018, Contested)
  • In re Mark Hotton (A.P. Nov. 19, 2018,

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