SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
TAG | Noble Royalty Access Fund X
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Did You Invest in These Oil & Gas/Alternative Energy Offerings?
Comments off · Posted by Securities Lawyer in FINRA
Adwar Drilling Fund I · Alternative Energy investment losses · APX Drilling Partners 2011 · Atlas Resources Series 31-2011 · Aztec XII Drilling Program · Bradford Drilling Associates XXXI · brokers recommending risky investments · Bryan Limited Partnership #33 · Coachman Bakken Drilling Fund III · D&L Energy 2011 Program · Energy Hunter Partners 2011-A · failure to supervise brokers · Financial Industry Regulatory Authority · FINRA · finra securities arbitration lawyer · Frontier Income and Growth LLC 2010 · Ft. Lauderdale Securities Lawyer · Gulf South Energy Partners 2011-A · high risk investments · ICON Oil & Gas Fund · LLC · Lp · Ltd. · Madison Capital Energy Income Fund III · MDS Energy Well Development 2011 · Noble Royalty Access Fund X · Noble Royalty Access Fund XI · Noble Royalty Access Fund XII · Oil & Gas investment losses · Rice Drilling B · risky investments · securities lawyer · stockbroker misconduct · targeting elderly investors · U.S. Energy - Strategic Income Fund · Unity Resources 11-A · Unsuitable investments to elderly · US Energy Alpha Energy Partners 2011 A & B · Waveland 2011 Drilling Program · Waveland Drilling Partners 2011-A
