Tag Archives: SEC

Accredited Investor Qualifications

Will the SEC Change the Accredited Investor Qualifications? The SEC sets the accredited investor qualifications criteria and hasn’t made changes to the income qualification since 1982. In order for an investor to be considered accredited, they need to make $200,000 … Continue reading

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Learn What Makes a Qualified Investor

Whether raising money for a private placement or building your portfolio of investment clients, working with a qualified investor will help to improve your success. By working with a premier group of investors, you will be able to accomplish more … Continue reading

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Rules Around Telemarketing Securities

Getting Familiar with SEC Telemarketing Rules Many firms use telemarketing as a way to reach their customers. An often criticized approach, it is also highly effective in getting people to engage in conversation which is the first step to closing … Continue reading

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Chicago CPA Charged with Insider Trading

Chicago, IL: Federal Prosecutors have charged a certified public accountant and former director of corporate audits for Chicago based Allscripts Healthcare Solutions with insider trading. Steven M. Dobrowski has been charged with 16 counts of securities fraud in the indictment, … Continue reading

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Executives Charged with Securities Fraud

Austin, Texas: The Federal Bureau of Investigation (FBI) announced today that ArthroCare Corporation has agreed to pay $30 million in a monetary penalty to resolve charges that senior executives in the company engaged in securities fraud. ArthoCare is a multi-business … Continue reading

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Insider Trading in Miami

Miami, Florida: In a insider trading bust today, the Securities and Exchange Commission (SEC) charged a Miami based trader for trading in the stock of Chinese company and for conducting an illegal short sale in the securities of three other … Continue reading

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Houston Firms Charged for Undisclosed Transactions

The SEC has charged two investment firms in Houston, Parallax Investments LLC and Tri-Star Advisors, along with three of their executives, for “engineering thousands of principal transactions” through a brokerage firm they are affiliated with without disclosing it to their clients. … Continue reading

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SEC Assess a Penalty Against Municipal Issuer

The SEC Assess a Penalty Against a Municipal Issuer for the First Time Municipal Issuer Hid the Fact that an Independent Consultant Reviewed Financial Projections and Raised Concerns Over Financial Viability. The Greater Wenatchee Regional Events Center Public Facilities District, … Continue reading

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Childrens’ Courses Pyramid Scheme Busted

SEC Busts Pyramid Scheme for Investing in Online Childrens Educational Courses   The SEC froze the assets of five entities that collectively went by “CKB” and “CKB168”.  A string of international organizations participated in this world wide Ponzi scheme that … Continue reading

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SEC Shuts Down EB5 Scam in Texas

The Securities and Exchange Commission (SEC) announced today that they were filing fraud charges against a Texas based couple for allegedly stealing funds from investors based in foreign countries, while promising these investors a path to citizenship in the United … Continue reading

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