The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
Introduction to the Stimwave Controversy On December 19, 2023, the SEC filed a complaint alleging a scheme by Laura Tyler Perryman, the ex-CEO and co-founder of Stimwave Technologies Inc. Perryman is accused of duping investors with false claims about a critical medical device, parts of which were fraudulently deemed functional. […]
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The rule changes… SEC Press Release
Washington D.C., Dec. 14, 2023- The SEC has charged Titanium Capital LLC, a Florida-based firm, and its founder, Henry Abdo, with operating a multi-million dollar Ponzi scheme. Unraveling the Deceptive Web of Titanium Capital Titanium Capital, spearheaded by Henry Abdo, is accused of raising at least $5.3 million from over […]
SEC’s Emergency Action The U.S. Securities and Exchange Commission (SEC) has taken decisive action against a large-scale Ponzi scheme. They have obtained a temporary restraining order, asset freeze, and the appointment of a receiver to halt the operations of Agridime LLC and its owners, Josh Link and Jed Wood. Details […]
Overview of the SEC Enforcement Action The Securities and Exchange Commission (SEC) announced an enforcement action against Credit Suisse Securities (USA) LLC and its affiliates, collectively referred to as the Credit Suisse Entities. This action, resulting in a settlement exceeding $10 million, stems from the entities’ engagement in prohibited underwriting […]
The SEC has taken action against five unregistered brokers and four companies based in New Jersey and New York relating their alleged involvement in a widespread fraudulent scheme related to investments in pre-initial public offering companies (pre-IPO). According to the SEC the scheme has had far-reaching consequences, resulting in over […]
Washington D.C., Dec. 5, 2023 — In a move towards transparency and investor empowerment, the Securities and Exchange Commission’s Office of the Investor Advocate has released its comprehensive Report on Activities for the Fiscal Year 2023. This document not only outlines the Office’s accomplishments during the fiscal year but also […]
Washington D.C., Nov. 29, 2023 — The Securities and Exchange Commission (SEC) recently filed charges against ArciTerra Companies LLC, a Phoenix-based real estate investment firm, and its CEO, Jonathan M. Larmore. The allegations surround a complex, multi-year scheme to misappropriate over $35 million from investor funds managed by ArciTerra. Additionally, […]
The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles Office, effective Dec. 3, 2023. Ms. Zoladz has served as Acting Co-Director since June 2023 and as the Associate Regional… SEC Press Release
SEC Implements Rule 192 to Safeguard Against Conflicts of Interest in Asset-Backed Securities Washington D.C., Nov. 27, 2023 — The Securities and Exchange Commission (SEC) has adopted Securities Act Rule 192. This rule, designed to enforce Section 27B of the Securities Act of 1933, as introduced by Section 621 of […]
