Blog Posts Tagged With Miscellaneous

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

  • In re Patrick Lanier (A.P. Oct. 2, 2018, Contested)
  • In re Paul T. Rampoldi (A.P. Oct. 4, 2018, Settled)
  • In re Ross B. Shapiro (A.P. Oct. 10, 2018, Settled)
  • In re Richard J. Bertuglia, CPA, et al. (A.P. Oct. 11, 2018, Settled)
  • In re John Kevin Reech (A.P. Oct. 11, 2018, Settled)
  • In re Saul Daniel Suster (A.P. Oct. 12, 2018, Contested)
  • In re Daniel Joseph Touizer (A.P. Oct. 12, 2018, Contested)
  • In re John

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Delinquent Filings (October 2018)

  • In re Ampal-American Israel Corporation, et al. (A.P. Oct. 1, 2018, Settled)
  • In re ARX Gold Corporation (A.P. Oct. 1, 2018, Settled)
  • In re Radiant Oil & Gas, Inc., et al. (A.P. Oct. 1, 2018, Settled)
  • In re AMI James Brands, Inc., et al. (A.P. Oct. 2, 2018, Settled)
  • In re First Liberty Power Corp., et al. (A.P. Oct. 2, 2018, Settled)
  • In re Golden Global Corp. and Power Efficiency Corporation (A.P. Oct. 2, 2018,

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Delinquent Filings (September 2018)

  • In re Allied American Steel Corp., et al. (A.P. Sept. 4, 2018, Contested)
  • In re Nutrastar International, Inc. (A.P. Sept. 6, 2018, Contested)
  • In re Petron Energy II, Inc., et al. (A.P. Sept. 6, 2018, Contested)
  • In re ScanSys, Inc. and Voz Mobile Cloud LTD (A.P. Sept. 6, 2018, Contested)
  • In re American Locker Group, Inc., et al. (A.P. Sept. 7, 2018, Contested)
  • In re China Health Resource, Inc. and China Logistics Group, Inc. (A.P.

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

  • In re David R. Frost (A.P. Sept. 4, 2018, Settled)
  • In re David S. Luttbeg (A.P. Sept. 4, 2018, Settled)
  • In re Dewey T. Tran (A.P. Sept. 4, 2018, Settled)
  • In re Douglas J. Derryberry (A.P. Sept. 4, 2018, Settled)
  • In re Joanne K. Viard, CPA (A.P. Sept. 4, 2018, Contested)
  • In re John Pierrard (A.P. Sept. 4, 2018, Contested)
  • In re Michael J. Kipp (A.P. Sept. 4, 2018, Contested)
  • In re Philip A. Weiner

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

  • In re Gilbert Fluetsch (A.P. Aug. 2, 2018, Settled)
  • In re Kurt J. Bordian, CPA (A.P. Aug. 3, 2018, Settled)
  • In re Steven J. Dykes (A.P. Aug, 3, 2018, Settled)
  • In re William Z. McFarland (A.P. Aug. 3, 2018, Settled)
  • In re Gregory G. Young (A.P. Aug. 6, 2018, Settled)
  • In re Daniel M. Fitzpatrick, CPA (A.P. Aug. 8, 2018, Settled)
  • In re Dennis Swerdlen (A.P. Aug. 8, 2018, Settled)
  • In re Kevin M. Modany,

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Delinquent Filings (August 2018)

  • In re Gilbert Fluetsch (A.P. Aug. 2, 2018, Settled)
  • In re Gepco, Ltd., et al. (A.P. Aug. 23, 2018, Contested)
  • In re Inner Systems, Inc., et al. (A.P. Aug. 23, 2018, Contested)
  • In re American Standard Energy Corp., et al. (A.P. Aug. 23, 2018, Contested)
  • In re Kvintess F&DI Holdings Corp., et al. (A.P. Aug. 23, 2018, Contested)
  • In re Forum Acquisitions I, Inc., et al. (A.P. Aug. 24, 2018, Contested)
  • In re Lightstone Technologies,

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

  • In re Daniel Burgess (A.P. July 6, 2018, Settled)
  • In re Roger S. Zullo (A.P. July 6, 2018, Settled)
  • In re Andrew B. Calhoun Jr. (A.P. July 9, 2018, Settled)
  • In re Andrew B. Calhoun IV (A.P. July 9, 2018, Settled)
  • In re Malachi Financial Products, Inc. (A.P. July 9, 2018, Settled)
  • In re Porter B. Bingham (A.P. July 9, 2018, Settled)
  • In re Matthew C. Woodward (A.P. July 10, 2018, Settled)
  • In re Ralph

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SEC Proposes Whistleblower Rule Amendments (June 28, 2018)

The SEC voted to propose amendments to the rules governing its whistleblower program.  These amendments address, in part, the Supreme Court’s decision in Digital Realty Trust, Inc. v. Somers, which held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions only apply where a securities violation is reported to the SEC itself.  With respect to whistleblower retaliation protection, the proposed rules would require an individual to report information about possible securities laws violations to the Commission
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Lucia v. SEC (June 21, 2018)

The Supreme Court held that the SEC’s appointment of ALJS violated the Constitution because SEC ALJs are “officers” and thus are subject to the Appointments Clause under the Court’s prior precedent.  This decision may have far-reaching consequences for other federal agencies that utilize ALJs because they are vulnerable to similar Appointments Clause challenges.  Further, while Lucia resolved one constitutional challenge to SEC ALJs, a concurrence by Justice Breyer highlights another significant constitutional question:  whether the
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Delinquent Filings (June 2018)

  • In re Escalera Resource Co., et al. (A.P. June 19, 2018, Contested)
  • In re Radiant Oil & Gas, Inc., et al. (A.P. June 19, 2018, Contested)
  • In re Development Capital Group, Inc., et al. (A.P. June 20, 2018, Contested)
  • In re FuelNation, Inc., et al. (A.P. June 20, 2018, Contested)
  • In re Green Parts International, et al. (A.P. June 29, 2018, Contested)

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

  • In re Barbara A. Endres (A.P. June 4, 2018, Settled)
  • In re Christopher C. Burtraw (A.P. June 4, 2018, Settled)
  • SEC v. Fern Holdings Corp., et al. (A.P. June 4, 2018, Settled)
  • In re Nachman Aaron Troodler, Esq. (A.P. June 8, 2018, Settled)
  • In re America Greener Technologies, Inc., et al. (A.P. June 13, 2018, Settled)
  • In re Eric Erb (A.P. June 13, 2018, Settled)
  • In re William Jordan (A.P. June 14, 2018, Settled)
  • In

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Delinquent Filings (May 2018)

  • In re Content Check Holdings, Inc. (A.P. May 8, 2018, Contested)
  • In re Longwei Petroleum Investment Limited (A.P. May 10, 2018, Contested)
  • In re Grey Fox Holding Corp. (f/k/a Gray Fox Petroleum Corp.), et al. (A.P. May 14, 2018, Contested)
  • In re Hedgebrook, et al. (A.P. May 15, 2018, Contested)
  • In re Sonora Resources Corp. (A.P. May 15, 2018, Contested)
  • In re America Greener Technologies, Inc., et al. (A.P. May 16, 2018, Contested)
  • In re

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

  • SEC v. Eddy U. Marin, et al. (S.D. Fla. May 2, 2018, Settled)
  • In re Kevin Hamilton (A.P. May 1, 2018, Settled)
  • In re Douglas A. McClain, Jr. (A.P. May 2, 2018, Settled)
  • In re Lauramarie Colangelo (A.P. May 2, 2018, Settled)
  • In re Gary Yin (A.P. May 3, 2018, Settled)
  • In re Shae Yatta Harper, Esq. (A.P. May 4, 2018, Settled)
  • In re Daniel H. Glick, CPA (A.P. May 4, 2018, Settled)
  • In re

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

  • In re James Moodhe (A.P. Apr. 2, 2018 – Settled)
  • In re NextGlass Technologies Corp. (Apr. 3, 2018 – Settled)
  • In re Gregory John Tuthill (Apr. 4, 2018 – Settled)
  • In re Joshua D. Mosshart (A.P. Apr. 5, 2018 – Settled)
  • In re Caleb J. Preston (A.P. Apr. 6, 201 – Settled)
  • In re Charles G. Preston (A.P. Apr. 6, 2018 – Settled)
  • In re Tobias J. Preston (A.P. Apr. 6, 2018 – Settled)
  • In

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

  • SEC v. Edward Henderson (D. Mass. Feb. 28, 2018, Contested)
  • In re Jacob W. Stocking (A.P. Mar. 5, 2018, Settled)
  • In re Eric Lovy f/k/a Eric Beltran (A.P. Mar. 6, 2018, Settled)
  • In re DMS Advisors, Inc. (A.P. Mar. 7, 2018, Settled)
  • In re Peter R. Kohli (A.P. Mar. 7, 2018, Settled)
  • In re Deborah D. Kelley (A.P. Mar. 9, 2018, Settled)
  • In re Gregg Z. Schonhorn (A.P. Mar. 9, 2018, Settled)
  • In re Edmund

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

  • In re Scott Walter Christensen (A.P. Feb. 1, 2018, Settled)
  • In re Thomas Edward Andrews (A.P. Feb. 1, 2018, Settled)
  • In re Craig Karlis (A.P. Feb. 2, 2018, Settled)
  • In re Andrew H. Wilson, Esq. (A.P. Feb. 5, 2018, Settled)
  • In re John T. Lynch, Jr. (A.P. Feb. 6, 2018, Settled)
  • In re Banc One Investment Advisors Corp. and Mark A. Beeson (A.P. Feb. 7, 2018, Settled)
  • In re Michael S. Moses (A.P. Feb.

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Digital Realty Trust, Inc. v. Somers (Feb. 21, 2018)

The Supreme Court held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions only apply where a violation of the securities laws is reported to the SEC, and do not extend to situations in which the violation is reported only internally.  In so holding, the Court resolved a circuit split that had left uncertainty over the scope of the provisions.  Individuals who report to the SEC remain covered by the provisions, which allow immediate access to federal
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SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures (Feb. 12, 2018)

The SEC’s Division of Enforcement announced its “Share Class Selection Disclosure Initiative,”  offering favorable settlement terms to investment advisers who self-report potential violations relating to certain mutual fund share class selection issues and promptly return money to harmed clients.  Qualifying self-reporting advisers will be eligible for a recommendation from the Division of Enforcement that the Commission accept a settlement imposing a cease-and-desist order, disgorgement with prejudgment interest, and various undertakings, but not imposing a civil
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SEC and CFTC Chairs Testify on Virtual Currency Oversight (Feb. 6, 2018)

SEC Chairman Jay Clayton and CFTC Chairman Christopher Giancarlo testified before the Senate Banking, Housing and Urban Affairs Committee on regulatory and enforcement efforts in connection with Bitcoin and other virtual currencies.  Both officials suggested that a broader, coordinated effort to monitor and regulate these currencies was necessary.  Chairman Giancarlo stated:  “It strikes me that we owe it to this new generation to respect their enthusiasm about virtual currencies with a thoughtful and balanced response,
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Follow-on APs, Suspensions, and Bars (January, 2018)

In re Khaled “Kal” Bassily (A.P. Jan. 3, 2018, Settled)

In re Blacksands Petroleum, Inc., et al. (A.P. Jan. 8, 2018, Contested)

In re Donna Boyd (f/k/a Donna Chen) (A.P. Jan. 8, 2018, Settled)

In re James C. Tao (A.P. Jan. 8, 2018, Settled)

In re Punch TV Studios, Inc. (A.P. Jan. 9, 2018, Contested)

In re Ambicon Holdings, et al. (A.P. Jan. 17, 2018, Contested)

In re American Nano Silicon Tech., Inc. (A.P. Jan.
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CFTC v. Southern Trust Metals, Inc., et al. (11th Cir. Jan. 22, 2018)

The Eleventh Circuit held as a matter of first impression that a settlement between a self-regulatory organization (the National Futures Association or NFA) and Defendants did not preclude a subsequent CFTC action brought on the basis of the same action. The court found that equitable estoppel does not apply to a CFTC action where the Defendant entered into a settlement with a self-regulatory organization because (1) the settlement was with a private, nongovernmental organization, (2)
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