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MIL-OSI USA: Anthony J. Thompson, Jr., et al.

By   /  February 2, 2019  /  24/7 OSI, AM-NC, america, Americas, CTF, DJF, English, Justice, KB, law, MIL OSI, Open Source Intel, Trade, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Anthony J. Thompson, Jr., et al.

Source: Securities and Exchange Commission Litigation Release No. 24389 / February 1, 2019 Securities and Exchange Commission v. Anthony J. Thompson, Jr., et al., No. 14-cv-09126 (ALC) (S.D.N.Y. filed Nov. 21, 2014) On November 28, 2018, the Securities and Exchange Commission obtained a judgment against a penny stock promoter in connection with multiple pump-and-dump schemes. […]

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MIL-OSI USA: Updated Investor Bulletin: Accredited Investors

By   /  February 2, 2019  /  24/7 OSI, AM-NC, america, Americas, Business, Commerce, CTF, DJF, Economy, Education, English, Investment, KB, law, Legal, MIL OSI, Open Source Intel, Resource Exploitation, Resource Exploration, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Updated Investor Bulletin: Accredited Investors

Source: Securities and Exchange Commission Jan. 31, 2019 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.”  What does it mean to be an accredited investor? Under the federal securities laws, only persons who are accredited investors may […]

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MIL-OSI USA: David Aubel and Robert Raffa

By   /  February 1, 2019  /  24/7 OSI, AM-NC, america, Americas, CTF, DJF, English, Justice, KB, law, MIL OSI, Open Source Intel, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: David Aubel and Robert Raffa

Source: Securities and Exchange Commission Litigation Release No. 24387 / January 31, 2019 Securities and Exchange Commission v. David Aubel and Robert Raffa, No. 16-CV-10670 (D. Mass. filed Apr. 7, 2016) United States v. David Aubel and Robert Raffa, No. 16-cr-10125 (D. Mass. filed Apr. 6, 2016) Two alleged market manipulators in an SEC enforcement […]

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MIL-OSI USA: SEC Charges Four Public Companies With Longstanding ICFR Failures

By   /  January 30, 2019  /  24/7 OSI, Aid, AM-NC, america, Americas, Crude, CTF, Defense, DJF, English, Exploration, Fiscal Updates, Gas, Intelligence, KB, Media Intelligence, MIL OSI, Oil, Open Source Intel, Security, United States, United States Federal Government, United States Government, United States of America, United States Security, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: SEC Charges Four Public Companies With Longstanding ICFR Failures

Source: Securities and Exchange Commission Washington D.C., Jan. 29, 2019 — The Securities and Exchange Commission today announced settled charges against four public companies for failing to maintain internal control over financial reporting (ICFR) for seven to 10 consecutive annual reporting periods. Two of the charged companies also failed to complete the required evaluation of the […]

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MIL-OSI USA: Daniel H. Glick, et al.

By   /  January 30, 2019  /  24/7 OSI, AM-NC, america, Americas, CTF, DJF, Economy, English, Exploration, Gas, Investment, Justice, KB, law, MIL OSI, Open Source Intel, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Daniel H. Glick, et al.

Source: Securities and Exchange Commission On January 4, 2019, the United States District Court for the Northern District of Illinois entered a final judgment by default against relief defendant Edward H. Forte in an SEC enforcement action. In March 2017, the Commission charged Daniel H. Glick, a Chicago-based investment adviser, and his unregistered investment advisory […]

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MIL-OSI USA: Phillip Michael Carter, et al.

By   /  January 30, 2019  /  24/7 OSI, AM-NC, america, Americas, CTF, DJF, Economy, English, Investment, Justice, KB, law, MIL OSI, Open Source Intel, Republic of Korea, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Phillip Michael Carter, et al.

Source: Securities and Exchange Commission The Securities and Exchange Commission announced that it filed charges against Texas resident and real estate developer Phillip Michael Carter, two other individuals, and several related entities for conducting a multi-million dollar offering fraud. The SEC’s complaint alleges that Carter, along with Bobby Eugene Guess and Richard Tilford, raised almost […]

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MIL-OSI USA: SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail

By   /  January 30, 2019  /  24/7 OSI, Aid, AM-NC, america, Americas, Business, Commerce, CTF, DJF, Economics, Economy, English, KB, MIL OSI, Open Source Intel, Republic of Korea, Technology, Trade, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail

Source: Securities and Exchange Commission Washington D.C., Jan. 29, 2019 — The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to Chairman Jay Clayton.  In this new role, Ms. Kimmel will coordinate the SEC’s oversight of the self-regulatory organizations’ (SROs) creation and implementation of the […]

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MIL-OSI USA: Shamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency

By   /  January 30, 2019  /  24/7 OSI, Aid, AM-NC, america, Americas, Banking and Finance, Bitcoin, Crime, Crude, Cryptocurrencies, CTF, Culture, DJF, Economy, English, Exploration, Gas, Investment, Justice, KB, law, MIL OSI, Oil, Open Source Intel, Privacy, Republic of Korea, Trade, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Shamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency

Source: Securities and Exchange Commission Washington D.C., Jan. 28, 2019 — The Securities and Exchange Commission today announced that Shamoil T. Shipchandler, Director of the Fort Worth Regional Office, left the agency on Friday, January 25.  Under Mr. Shipchandler’s leadership, the Fort Worth office has brought numerous significant enforcement actions and has conducted examination activities […]

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MIL-OSI USA: Howard B. Present

By   /  January 29, 2019  /  24/7 OSI, AM-NC, america, Americas, CTF, DJF, Economy, English, Investment, Justice, KB, law, MIL OSI, Open Source Intel, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Howard B. Present

Source: Securities and Exchange Commission Litigation Release No. 24384 / January 28, 2019 Securities and Exchange Commission v. Howard B. Present, No. 18-cv-1477 (1st Cir. January 15, 2019) The Securities and Exchange Commission announced today that on January 15, 2019 the United States Court of Appeals for the First Circuit dismissed the appeal filed in […]

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MIL-OSI USA: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors

By   /  January 29, 2019  /  24/7 OSI, Aid, AM-NC, america, Americas, Banking and Finance, Business, Commerce, CTF, DJF, Economy, English, Investment, Justice, KB, law, MIL OSI, Open Source Intel, Republic of Korea, United States, United States Federal Government, United States Government, United States of America, US Securities and Exchange Commission, USA  /  Comments Off on MIL-OSI USA: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors

Source: Securities and Exchange Commission Former Owner Robert H. Shapiro Fined $100 Million Washington D.C., Jan. 28, 2019 — The Securities and Exchange Commission today announced that a federal court in Florida ordered Woodbridge Group of Companies LLC and its former owner to pay $1 billion in penalties and disgorgement for operating a Ponzi scheme that targeted […]

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