Securities Act of 1933

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Apr 26, 2017

Demitrios Hallas Accused By SEC Of Selling Unsuitable Investments

By |April 26th, 2017|SEC, Securities Act of 1933, Securities Law Violations|

The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange Traded Notes (ETNs) in clients' accounts and swindling $170,000 from one of his clients. The Commission claims he trade one hundred seventy-nine daily leveraged ETFs and ETNs in client accounts from September 2014 to October 2015, creating $128,000 in [...]

Feb 1, 2017

Dwayne Edwards Accused Of Fraud By SEC

By |February 1st, 2017|10b-5, Alabama, Bonds, Fraud, Legal Matters, Misrepresentation and Fraud, Press Releases & News, SEC, Securities Act of 1933, Securities and Exchange Act, Securities Law Violations|

The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South Carolina businessman. The SEC alleges that he funneled money he obtained from investors who believed their money would be used for buying and renovating senior housing facilities. According to the commission, Dwayne Edwards illicitly commingled funds from a number [...]

Jan 14, 2016

SEC Charges Edward Durante With Securities Fraud

By |January 14th, 2016|10b-5, Fraud, Misrepresentation and Fraud, Press Releases & News, SEC, Securities Act of 1933, Securities and Exchange Act, Securities Law Violations|

The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that targeted investors in New England, Ohio, and California. The SEC’s complaint alleges that between 2012 and 2014, Durante defrauded at least 50 relatively unsophisticated investors of at least $11 million through the sale of securities of VGTel, Inc., a [...]

Jul 6, 2015

Gold Mining Ponzi Scheme Targets Latinos in Florida

By |July 6th, 2015|10b-5, Fraud, Misrepresentation and Fraud, Ponzi Scheme, Press Releases & News, Securities Act of 1933, Securities and Exchange Act, Securities Law Violations|

On July 2, 2015, the SEC froze a fraudulent venture headed by DFRF Enterprises, its leader, and six promoters. The SEC alleges that DFRF Enterprises operated a Ponzi scheme by promoting and selling membership interests in over 50 Brazilian and African gold mines.  The company recruited investors by promising large profits on fully insured funds used [...]

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