Growth Capitalist (https://growthcapitalist.com/tag/enforcement/page/10/)
The Securities and Exchange Commission may issue a cease-and-desist order against middle market advisory firm 3C Advisors & Associates after SEC staff accused 3C of acting as a securities broker without registration.
A Florida-based money manager and his attorney are charged with illegally selling unregistered shares of nutritional supplement maker MusclePharm Corp. (MSLP) that the money manager received at steep discounts from the company.
The Financial Industry Regulatory Authority said that private placements and offerings under Regulation A+ will be among its regulatory priorities in 2016.
The securities industry’s self-regulatory organization released its annual Regulatory and Examination Priorities letter on Tuesday, Jan. 5.
Securities lawyer Evan L. Greebel, who specialized in advising investors in PIPE transactions and other emerging-growth-company deals, was arrested along with his infamous client Martin Shkreli on charges of conspiracy to commit securities fraud.
